Geoffry A. Penn

NORTH STAR ASSET MANAGEMENT

Neenah, WI 54956

Some features on this profile are disabled

CRD#: 2705851

Professional summary

Geoffry Alan Penn is a registered financial advisor currently at NORTH STAR ASSET MANAGEMENT INC located in Neenah, Wisconsin.

Geoffry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Geoffry has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Geoffry Alan Penn'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

June 7, 1996 - Present

NORTH STAR ASSET MANAGEMENT INC

Office #1: 134 E. Wisconsin Ave. One Neenah Center, Suite 300, Neenah, WI 54956

RIA

CRD#: 106489

Neenah, WI

Past

April 26, 1996 - July 11, 1996

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

GREEN BAY, WI

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".

NORTH STAR ASSET MANAGEMENT INC

CRD#: 106489 / SEC#: 801-52034

RIA

Registered Investment Advisory firm - (6/7/1996 Approved)

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
(6/7/1996)

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: 2/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/1996

General Securities Representative Examination

Current Firm

NORTH STAR ASSET MANAGEMENT INC

CRD#: 106489 / SEC#: 801-52034

RIA

Registered Investment Advisory firm - (6/7/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

134 E. Wisconsin Ave. One Neenah Center, Suite 300, Neenah, WI 54956

Mailing Address

Phone number

(920) 729-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,290
AUM (Assets Under Management)	$ 3,079,601,758

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.

Similar Advisors

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Racquel Nakata

EQUITABLE ADVISORS, LLC

IAR

Honolulu, HI

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Geoffry A. Penn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffry Alan Penn's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH STAR ASSET MANAGEMENT INC

ASSOCIATED INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

NORTH STAR ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/15/1996

Series 7

Date: 2/15/1996

Current Firm

NORTH STAR ASSET MANAGEMENT INC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTH STAR ASSET MANAGEMENT INC

TRUST BUT VERIFY

Similar Advisors