Joshua M. Moklestad

GEN FINANCIAL MANAGEMENT

Plymouth, MN 55441

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CRD#: 6935264

Professional summary

Joshua Mark Moklestad, who also goes by Josh Moklestad, is a registered financial advisor currently at GEN FINANCIAL MANAGEMENT INC. located in Plymouth, Minnesota.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Joshua has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Moklestad

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 Joshua Mark Moklestad'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

March 7, 2023 - Present

GEN FINANCIAL MANAGEMENT INC.

Office #1: 10810 Old County Road 15 Suite 200, Plymouth, MN 55441

RIA

CRD#: 110179

Plymouth, MN

Past

April 23, 2018 - March 22, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MENDOTA HTS, MN

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".

GEN FINANCIAL MANAGEMENT INC.

CRD#: 110179 / SEC#: 801-57823

RIA

Registered Investment Advisory firm - (8/2/2000 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

Minnesota
(3/7/2023)

IAR

Texas
(3/7/2023)

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: 5/3/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/23/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GEN FINANCIAL MANAGEMENT INC.

CRD#: 110179 / SEC#: 801-57823

RIA

Registered Investment Advisory firm - (8/2/2000 Approved)

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Contact information

Main Address

10810 Old County Road 15 Suite 200, Plymouth, MN 55441

Mailing Address

Phone number

(952) 513-1466

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (7/23/2025)

Regulatory assets under management

Total Number of Accounts	2,126
AUM (Assets Under Management)	$ 496,527,070

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/30/2024	Cover Page	Report
11/29/2023	Cover Page	Report
09/28/2022	Cover Page	Report

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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Joshua M. Moklestad

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Mark Moklestad's CRS (Customer Relationship Summary).

Certified licenses

Experience

GEN FINANCIAL MANAGEMENT INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

GEN FINANCIAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/2018

SIE

Date: 10/1/2018

Series 6

Date: 4/23/2018

Current Firm

GEN FINANCIAL MANAGEMENT INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GEN FINANCIAL MANAGEMENT INC.

TRUST BUT VERIFY

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