Unclaimed Profile

Joseph Anthony Frohna

1492 CAPITAL MANAGEMENT, LLC·MILWAUKEE, Wisconsin

Series 3, Series 7, Series 6324 years registered1492 CAPITAL MANAGEMENT, LLC

309 NORTH WATER STREET, MILWAUKEE, WI 53202CRD# 2545291Firm CRD# 148566

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joseph Anthony Frohna · MILWAUKEE, WI

Registration

CRD #2545291 · 1492 CAPITAL MANAGEMENT, LLC · 24 years registered

Brand Profile

Not yet started

Career History

1492 CAPITAL MANAGEMENT, LLC

Nov 2008 – present

CORTINA ASSET MANAGEMENT, LLC

Jul 2004 – Mar 2010

MILWAUKEE, WI

U.S. BANCORP ASSET MANAGEMENT, INC.

Jan 2002 – Apr 2004

MILWAUKEE, WI

Registrations & Exams

FINRA examinations passed

Series 3

Series 7

Series 63

Registration record

First registered · January 2, 2002

Years registered · 24

Disclosure History

2007Civil·Final

2007Regulatory·Final

2004Employment Separation After Allegations

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

1492 CAPITAL MANAGEMENT, LLC

CRD 148566 · SEC 801-70447

AUM

$192M

Regulatory assets under management

Employees

102 client accounts

Services offered by 1492 CAPITAL MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at 1492 CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Joseph Anthony Frohna offer?

Joseph Anthony Frohna specializes in Investment Management, Wealth Management. Contact their office in MILWAUKEE, Wisconsin for a consultation.

What are Joseph Anthony Frohna's credentials?

Joseph Anthony Frohna is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joseph Anthony Frohna located?

Joseph Anthony Frohna is based in MILWAUKEE, Wisconsin, working with 1492 CAPITAL MANAGEMENT, LLC. Their office serves clients in the MILWAUKEE metropolitan area and surrounding communities.

How does Joseph Anthony Frohna charge for services?

Joseph Anthony Frohna's firm is compensated through percentage of aum, other: a percentage of aum from persons receiving model portfolios. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is 1492 CAPITAL MANAGEMENT, LLC?

1492 CAPITAL MANAGEMENT, LLC has approximately 5 employees and manages $192M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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