Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Geoffrey Frosh is a financial advisor at UBS Financial Services Inc. Derek has over 28 years of experience in the financial services industry. Derek holds Series 63, 66, 7, 9, 10, and 52 licenses. Derek is also a Certified Financial Planner. Derek has been registered with UBS Financial Services Inc. since 2013. Prior to that, Derek was registered with Wells Fargo Advisors, LLC, AmSouth Investment Services, Inc., Barnett Investments, Inc. and Olde Discount Corporation. Derek is registered to provide investment advice in Florida, North Carolina, and Texas. Derek's experience includes providing financial planning, portfolio management, and investment advice to individuals, businesses, and institutions.
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.
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.
See schedule d - miscellaneous
1
2
NC
04/15/2013 - Present
UBS Financial Services Inc. (WINSTON-SALEM NC)
NC
01/11/2001 - 01/29/2013
WELLS FARGO ADVISORS, LLC (LEWISVILLE NC)
AL
03/23/1998 - 01/02/2001
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
FL
01/29/1997 - 03/03/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
MI
10/18/1995 - 01/14/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 12/19/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/22/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 7/22/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/27/1996
Series 7 - General Securities Representative Examination
BC
Issued 10/17/1995
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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