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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Frosch is an investment advisor representative associated with LPL Financial LLC. Barbara has been in the industry since February 10, 1998. She has a total of 2 state exam categories, 3 product exam categories, and 1 principal exam category. Barbara has passed the following exams: Uniform Securities Agent State Law Examination, Uniform Investment Adviser Law Examination, Securities Industry Essentials Examination, General Securities Representative Examination, and Investment Company Products/Variable Contracts Representative Examination. Barbara has held the following licenses: Series 6, Series 7, Series 63, and Series 65. Barbara has been registered with the following firms: BMO HARRIS FINANCIAL ADVISORS, INC., M&I FINANCIAL ADVISORS, INC, LANDOLT SECURITIES, INC., NATIONAL PLANNING CORPORATION, INVESTMENT CENTERS OF AMERICA, INC., SII INVESTMENTS, INC., and M&I BROKERAGE SERVICES, INC. Barbara is currently registered with LPL Financial LLC in Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
WI
03/24/2021 - Present
LPL Financial LLC (OSHKOSH WI)
WI
08/01/2012 - 03/24/2021
BMO HARRIS FINANCIAL ADVISORS, INC. (OSHKOSH WI)
WI
10/07/2005 - 08/01/2012
M&I FINANCIAL ADVISORS, INC (OSHKOSH WI)
IL
04/18/2005 - 08/29/2005
LANDOLT SECURITIES, INC. (LAKE BLUFF IL)
CA
12/08/2003 - 04/14/2005
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
WI
12/11/2001 - 04/14/2005
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
WI
05/15/2001 - 04/14/2005
SII INVESTMENTS, INC. (APPLETON WI)
WI
12/04/1997 - 04/16/2001
M&I BROKERAGE SERVICES, INC. (MILWAUKEE WI)
IA
Issued 02/23/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/02/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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