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David Randle Frost

J.h. Darbie & CO., Inc.

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About David Randle Frost

David Randle Frost is a registered representative with J.h. Darbie & CO., Inc. David has been in the financial services industry since 1999. David is a registered representative in California, Connecticut, Florida, Georgia, New York, North Carolina, and Texas. David is also registered with the Financial Industry Regulatory Authority (FINRA). Previously, David worked at Halcyon Cabot Partners, LTD., National Securities Corporation, Coastal Equities, Inc., John Carris Investments LLC, Joseph Gunnar & CO. LLC, Oppenheimer & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David is a specialist in Fixed Income, Mutual Funds, Variable Annuities and Other Investment Products.

Firm Information

David Frost is currently registered with J.h. Darbie & CO., Inc.. J.h. Darbie & CO., Inc. is a Corporation registered with the SEC and in 46 states. Founded in June 1997, the firm offers advisory services including portfolio management for individuals and selection of other advisors. They also participate in wrap fee programs. They have approximately 9 employees, including licensed agents, investment advisor representatives, and registered representatives. The firm's website is HTTP://WWW.JHDARBIE.COM.

Not reported

Assets Under Management

Not reported

Total Clients

28

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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subadvisory and solicitations

Subadvisory and solicitations

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Subadvisory and solicitations

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David Frost’s Registration & Firm History

NY

11/11/2015 - Present

J.h. Darbie & CO., Inc. (NEW YORK NY)

NY

06/02/2015 - 09/16/2015

HALCYON CABOT PARTNERS, LTD. (NEW YORK NY)

NY

11/11/2014 - 05/27/2015

NATIONAL SECURITIES CORPORATION (NEW YORK NY)

NY

04/24/2014 - 11/12/2014

COASTAL EQUITIES, INC. (New York NY)

NJ

08/07/2013 - 05/23/2014

JOHN CARRIS INVESTMENTS LLC (HOBOKEN NJ)

NY

11/26/2008 - 05/20/2013

JOSEPH GUNNAR & CO. LLC (NEW YORK NY)

NY

11/19/2003 - 12/01/2008

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

08/31/1998 - 12/01/2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/11/2008

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 09/28/1998

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/28/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for David Randle Frost. Review regulatory record here.
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