Ellis David Frohman
Professional Summary
Ellis David Frohman, who also goes by David Frohman, E David Frohman, was a registered financial advisor. Ellis was a previously registered financial professional and started their career in finance 1986 - 2014. Ellis had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Frohman, E David Frohman
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
SPEARHEAD CAPITAL, LLC | SPEARHEAD, LLC
Contact Information
Established
Delaware since 12/17/2008Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1986About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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