Noreen A. Frost

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CRD#: 1141977

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Noreen Anne Frost was a registered financial professional .

Noreen is a previously registered financial professional and started their career in finance in 1992. Noreen had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 1, 2009 - March 11, 2019

WMS PARTNERS, LLC

RIA

CRD#: 109971

TOWSON, MD

Past

April 2, 2007 - May 19, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HUNT VALLEY, MD

Past

April 2, 2007 - May 19, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

HUNT VALLEY, MD

Past

April 2, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LUTHERVILLE, MD

Past

April 2, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

LUTHERVILLE, MD

Past

March 22, 2001 - April 11, 2003

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

BALTIMORE, MD

Past

January 13, 2001 - April 11, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 27, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

January 5, 1995 - January 22, 1996

KROLL SECURITIES LLC

CRD#: 36927

CHICAGO, IL

Past

June 26, 1992 - March 5, 1993

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/28/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/24/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/3/1992

General Securities Principal Examination

Current Firm

WMS PARTNERS, LLC

WEALTH MANAGEMENT SERVICES LLC | WMS PARTNERS, LLC

CRD#: 109971 / SEC#: 801-46692

RIA

Registered Investment Advisory firm - (6/27/2025 Terminated)

Maryland

Registered Investment Advisory firm - (8/4/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1 W. Pennsylvania Avenue Suite 800, Towson, MD 21204

Mailing Address

Phone number

(410) 337-7575

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 9,338,019

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
01/26/2024	Cover Page	Report
10/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Noreen A. Frost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

KROLL SECURITIES LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2000

Series 63

Date: 9/24/1992

Series 7

Date: 6/24/1992

Series 24

Date: 9/3/1992

Current Firm

WMS PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WMS PARTNERS, LLC

TRUST BUT VERIFY

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