BP
Brent D. Polzin
HARBOR WEALTH MANAGEMENT
Green Bay, WI 54303
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CRD#: 4761660
BP
Professional summary
Brent D Polzin, ChFC® is a registered financial advisor currently at HARBOR WEALTH MANAGEMENT, LLC located in Green Bay, Wisconsin and APW CAPITAL, INC. located in Green Bay, Wisconsin.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brent has worked at 4 firms and has passed the Series 66, SIE 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.
1-ECO Angus; Shawano, WI; Service Description: Raise cattle; Start date: 06/01/2014; Title: Partner; Duties: Raise cattle; Time spent: 5 hrs./month.
2-Harbor Wealth Management, LLC; Green Bay, WI; Service Description: Registered Investment Advisor; Start date: 10/01/2007; Title: Member; Duties: Advise clients; Time spent: 98%.
3-RHP Properties, LLC; Green Bay, WI; Service Description: Real Estate Investments; Start date: 01/01/2008; Title: Member; Duties: Investor; Time spent: 0%.
4-SA Investors, LLC; Green Bay, WI; Service description: Real Estate Investment; Start date: 01/01/2008; Title: Partner; Duties: Investor; Time Spent: 0%.
5-Brent Polzin Beef Farm; Cecil, WI; Service description: Farming; Start date: 01/01/2018; Title: Owner; Duties: Raise beef and grow crops; Time spent: 10%.
6-APW Capital, INC.; Green Bay, WI; Service Description: Broker Dealer; Start date: 10/01/2017; Title: Registered Representative; Duties: Advise clients; Investment Related
7 - Insurance agent since 2004 dedicating 10 hours er month, during trading or non-trading hours. Not investment related. Commission based.
CRS (Client Relationship Summary) - RIA
Click below to view Brent D Polzin's 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®
Experience
Current
January 3, 2017 - Present
HARBOR WEALTH MANAGEMENT, LLC
Office #1: 727 Cormier Road Suite 101, Green Bay, WI 54303RIA
CRD#: 153527
Green Bay, WI
Current
August 19, 2010 - Present
APW CAPITAL, INC.
Office #1: 727 Cormier Road, Green Bay, WI 54304BD
CRD#: 43814
Green Bay, WI
Past
August 16, 2010 - December 31, 2016
HARBOR WEALTH MANAGEMENT, LLC
RIA
CRD#: 153527
GREEN BAY, WI
Past
October 26, 2007 - December 22, 2008
MIDWEST PROFESSIONAL PLANNERS, LTD.
RIA
CRD#: 112995
GREEN BAY, WI
Past
April 23, 2004 - August 24, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
GREEN BAY, WI
Past
April 5, 2004 - August 24, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
HW
HARBOR WEALTH MANAGEMENT, LLC
GSC WEALTH MANAGEMENT | HARBOR WEALTH MANAGEMENT, LLC
CRD#: 153527 / SEC#: 801-86172
RIA
Registered Investment Advisory firm - (4/16/2015 Approved)Wisconsin
Registered Investment Advisory firm - (4/21/2015 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(3/15/2022)
RR
Arizona(11/14/2011)
RR
Florida(11/14/2011)
RR
Illinois(3/15/2022)
RR
Indiana(11/14/2011)
RR
North Carolina(6/4/2019)
IAR
Texas(6/16/2023)
RR
Wisconsin(8/19/2010)
IAR
Wisconsin(1/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HARBOR WEALTH MANAGEMENT, LLC
GSC WEALTH MANAGEMENT | HARBOR WEALTH MANAGEMENT, LLC
CRD#: 153527 / SEC#: 801-86172
RIA
Registered Investment Advisory firm - (4/16/2015 Approved)Wisconsin
Registered Investment Advisory firm - (4/21/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
727 Cormier Road Suite 101, Green Bay, WI 54303
Mailing Address
Phone number
(920) 434-5310
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,337 |
| AUM (Assets Under Management) | $ 362,947,912 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
