Joseph A. Frohna

1492 CAPITAL MANAGEMENT

MILWAUKEE, WI 53202

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CRD#: 2545291

Professional summary

Joseph Anthony Frohna, who also goes by Joseph Frohna, is a registered financial advisor currently at 1492 CAPITAL MANAGEMENT, LLC located in Milwaukee, Wisconsin.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 4 firms and has passed the Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Frohna

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Frohna's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 17, 2008 - Present

1492 CAPITAL MANAGEMENT, LLC

Office #1: 111 East Wisconsin Avenue Suite 1300, Milwaukee, WI 53202

RIA

CRD#: 148566

MILWAUKEE, WI

Past

July 26, 2004 - March 5, 2010

CORTINA ASSET MANAGEMENT, LLC

RIA

CRD#: 131394

MILWAUKEE, WI

Past

January 2, 2002 - April 20, 2004

U.S. BANCORP ASSET MANAGEMENT, INC.

RIA

CRD#: 111912

MILWAUKEE, WI

Past

November 8, 1994 - February 7, 1995

SALOMON BROTHERS INC.

CRD#: 740

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

1492 CAPITAL MANAGEMENT, LLC

CRD#: 148566 / SEC#: 801-70447

RIA

Registered Investment Advisory firm - (8/5/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/18/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/12/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(11/17/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/7/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/24/1994

National Commodity Futures Examination

Current Firm

1492 CAPITAL MANAGEMENT, LLC

CRD#: 148566 / SEC#: 801-70447

RIA

Registered Investment Advisory firm - (8/5/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/18/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/12/2009 Terminated)

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Contact information

Main Address

111 East Wisconsin Avenue Suite 1300, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 276-1492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

1492CM ADV PART 2 BROCHURE (9/15/2025)

Regulatory assets under management

Total Number of Accounts	101
AUM (Assets Under Management)	$ 220,388,507

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joseph A. Frohna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Frohna's CRS (Customer Relationship Summary).

Certified licenses

Experience

1492 CAPITAL MANAGEMENT, LLC

CORTINA ASSET MANAGEMENT, LLC

U.S. BANCORP ASSET MANAGEMENT, INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

1492 CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1994

Series 7

Date: 11/7/1994

Series 3

Date: 10/24/1994

Current Firm

1492 CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

1492 CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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