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CFP

Michael Mrotzek

Janney Montgomery Scott LLC
38 Years of Experience
Red Bank, NJ
1 DisclosureBroker
View SEC Summary
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Michael Mrotzek is a CFP-designated registered investment advisor at Janney Montgomery Scott LLC, based in Red Bank, NJ, with 38 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1340 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

322 Rt. 35, Suite 110, Red Bank, NJ, 07701

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2026
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael serves as Power of Attorney and Executor/Co-Executor. These activities do not take up any of Michael's time during or after business hours.

Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
March 2026 - Present · 8 mos
Janney Montgomery Scott LLC
March 2026 - Present · 8 mos
Previous Registrations
Morgan StanleyBroker
September 2010 - April 2026 · 15 yrs 7 mos
Morgan Stanley
September 2010 - April 2026 · 15 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2004 - September 2010 · 6 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2004 - September 2010 · 6 yrs 2 mos
Wachovia Securities, LLC
July 2003 - July 2004 · 1 yr
Wachovia Securities, LLCBroker
October 1999 - July 2004 · 4 yrs 9 mos
First Union Capital Markets CORP.Broker
September 1997 - October 1999 · 2 yrs 1 mo
J. B. Hanauer & CO.Broker
February 1988 - September 1997 · 9 yrs 7 mos
State Registrations21 states
AZCACOCTDEFLGAINKYMENCNHNJNYOHPASCTNTXVAVT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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