EF
Eileen R. Frohman
LPL ENTERPRISE
White Plains, NY 10601
Some features on this profile are disabled
CRD#: 2074485
EF
Professional summary
Eileen Robin Frohman, who also goes by Eileen Frohman, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in White Plains, New York.
Eileen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Eileen has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eileen Frohman
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. 11/14/2024 - Adrienne frohman ttee eileen frohman ttee - Act in a Fiduciary Capacity - Hauppauge, NY - NOT INV REL - Start Date 01/01/2006 - 0hrs/mth 2. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Eileen Robin Frohman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eileen Robin Frohman'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601RIA
BD
CRD#: 8733
White Plains, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601RIA
BD
CRD#: 8733
White Plains, NY
Past
September 13, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
White Plains, NY
Past
September 13, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
White Plains, NY
Past
November 30, 2022 - September 1, 2023
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
September 23, 2021 - November 5, 2021
LAFFER TENGLER INVESTMENTS, INC.
RIA
CRD#: 108068
Darien, CT
Past
September 15, 2021 - November 5, 2021
SABLE CAPITAL LLC
BD
CRD#: 113818
ST. LOUIS, MO
Past
October 25, 2019 - March 11, 2020
FISHER INVESTMENTS
RIA
CRD#: 107342
DARIEN, CT
Past
July 31, 2017 - October 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
STAMFORD, CT
Past
July 31, 2017 - October 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
STAMFORD, CT
Past
June 4, 2012 - December 31, 2015
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
BOSTON, MA
Past
June 4, 2012 - August 3, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
March 31, 2005 - April 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
STAMFORD, CT
Past
October 18, 2001 - April 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
STAMFORD, CT
Past
May 10, 1994 - October 24, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 1, 1993 - May 25, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
Rhode Island(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
