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 with UBS Financial Services Inc. Derek has been in the industry since 1995 and is currently registered with the state of North Carolina. Derek is also registered with the state of Florida and Texas. Previously, Derek was employed at WELLS FARGO ADVISORS, LLC, AMSOUTH INVESTMENT SERVICES, INC., BARNETT INVESTMENTS, INC., and OLDE DISCOUNT CORPORATION. Derek holds the Series 66, 63, 10, 9, 7, 52, and SIE licenses. Derek is a Certified Financial Planner. Derek is also a licensed building contractor in the state of North Carolina.
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 07/22/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1996
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
Not sure Derek Frosh is the right advisor for you? Invested Better is here to help.
