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Daniel L. Frost
THE SHERRY GROUP
HARVARD, IL 60033
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CRD#: 1004213
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Professional summary
Daniel Lee Frost, who also goes by Dan Frost, is a registered financial advisor currently at THE SHERRY GROUP, INC. located in Harvard, Illinois.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Frost
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)THE FROST GROUP, INC. 306 N JOHNSON ST, HARVARD, IL. PRESIDENT. FIXED INS. INVESTMENT RELATED. 120 HRS/MO 2)DUNHAM & CHEMUNG MUTUAL INSURANCE, 306 JOHNSON ST, HARVARD, IL, CORP, CEO, MANAGE DAY TO DAY OPS, INV-RELATED, START 1996, 40 HRS/MO, 40 HRS/MO 3)ROCKFORD MUTUAL INSURANCE COMPANY, 527 COLEMAN CENTER, ROCKFORD, IL, CORP, BD OF DIRECTORS MEMBER, START 1994, INV-RELATED, 10 HRS/MO, 10 HRS/MO 4)THE SHERRY GROUP, INC, 5 E SIXTH ST, MOUNTAIN HOME, AR, SOLICITOR FOR THIS RIA/CORP, INV-REL, START 6/09, 5 HRS/MO, 5 HRS/MO
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Frost's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 24, 2008 - Present
THE SHERRY GROUP, INC.
Office #1: 306 Johnson Street, Harvard, IL 60033RIA
CRD#: 146271
HARVARD, IL
Past
May 13, 2016 - December 31, 2016
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
HARVARD, IL
Past
September 4, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
HARVARD, IL
Past
January 31, 2002 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
HARVARD, IL
Past
August 27, 1981 - May 10, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TS
THE SHERRY GROUP, INC.
THE SHERRY GROUP, INC.
CRD#: 146271 / SEC#: 801-133990
RIA
Registered Investment Advisory firm - (7/25/2025 Approved)Arkansas
Registered Investment Advisory firm - (8/7/2025 Terminated)Florida
Registered Investment Advisory firm - (7/30/2025 Terminated)Illinois
Registered Investment Advisory firm - (7/30/2025 Terminated)Missouri
Registered Investment Advisory firm - (7/30/2025 Terminated)Texas
Registered Investment Advisory firm - (7/30/2025 Terminated)Wisconsin
Registered Investment Advisory firm - (7/30/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(7/24/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TS
THE SHERRY GROUP, INC.
THE SHERRY GROUP, INC.
CRD#: 146271 / SEC#: 801-133990
RIA
Registered Investment Advisory firm - (7/25/2025 Approved)Arkansas
Registered Investment Advisory firm - (8/7/2025 Terminated)Florida
Registered Investment Advisory firm - (7/30/2025 Terminated)Illinois
Registered Investment Advisory firm - (7/30/2025 Terminated)Missouri
Registered Investment Advisory firm - (7/30/2025 Terminated)Texas
Registered Investment Advisory firm - (7/30/2025 Terminated)Wisconsin
Registered Investment Advisory firm - (7/30/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5 E. 6th Street, Mountain Home, AR 72653
Mailing Address
Phone number
(870) 425-8252
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 473 |
| AUM (Assets Under Management) | $ 111,867,695 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE SHERRY GROUP, INC.
CRD#: 146271Harvard, IL 60033TRUST BUT VERIFY
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