Frederick B. Genz
Professional summary
Frederick Benjamin Genz, CFP®, who also goes by Ben Genz, Benjamin Genz, is a registered financial advisor currently at POEHLING CAPITAL MANAGEMENT, INC. located in La Crosse, Wisconsin.
Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Frederick has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Benjamin Genz's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2016
Experience
April 17, 2015 - Present
POEHLING CAPITAL MANAGEMENT, INC.
Office #1: 605 4th Street S, La Crosse, WI 54601November 28, 2011 - March 31, 2015
EMPOWER FINANCIAL SERVICES, INC.
November 23, 2009 - October 24, 2011
OSAIC SERVICES, INC.
Primary Firm SEC Registration
POEHLING CAPITAL MANAGEMENT, INC.
CRD#: 131668 / SEC#: 801-63189
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/17/2015)
Exams
Current Firm
POEHLING CAPITAL MANAGEMENT, INC.
CRD#: 131668 / SEC#: 801-63189
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,433 |
| AUM (Assets Under Management) | $ 489,280,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/20/2024 | ||
| 02/28/2023 |
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.
