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JF

John D. Frontero

Some features on this profile are disabled
CRD#: 2545306
JF

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.

John Daniel Frontero was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1994. John had worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
DOCK STREET CAPITAL MANAGEMENT - LOCATED IN WESTPORT, CT STARTED AUGUST 2015. REGISTERED INVESTMENT ADVISOR. 25% OWNER - WILL WORK 20 HRS/MONTH, 10 HRS DURING TRADING HOURS PER MONTH. CALLING PROSPECTIVE CLIENTS FOR PORTFOLIO MANAGEMENT SERVICES

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

April 10, 2018 - December 31, 2024

DOCK STREET CAPITAL MANAGEMENT LLC

RIA
CRD#: 157155
WESTPORT, CT
Past

January 9, 2014 - August 15, 2016

PRO WEALTH ADVISORS, LLC

RIA
CRD#: 169033
WESTFIELD, NJ
Past

April 23, 2012 - April 6, 2022

CROSS POINT CAPITAL LLC

BD
CRD#: 136223
New York, NY
Past

October 20, 2010 - February 29, 2012

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
NEW YORK, NY
Past

May 1, 2009 - October 1, 2010

CROSS POINT CAPITAL LLC

BD
CRD#: 136223
NEW YORK, NY
Past

November 28, 1997 - May 12, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 8, 1994 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
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".
DS
DOCK STREET CAPITAL MANAGEMENT LLC
DOCK STREET CAPITAL MANAGEMENT LLC

CRD#: 157155 / SEC#: 801-77192

RIA
Registered Investment Advisory firm - (10/3/2012 Approved)

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 65
Date: 8/8/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/24/1994
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/27/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2005
General Securities Principal Examination

Current Firm

DS
DOCK STREET CAPITAL MANAGEMENT LLC
DOCK STREET CAPITAL MANAGEMENT LLC

CRD#: 157155 / SEC#: 801-77192

RIA
Registered Investment Advisory firm - (10/3/2012 Approved)
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Contact information

Main Address
575-b Riverside Avenue, Westport, CT 06880
Mailing Address
Phone number
(212) 457-8258
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

ADV - PART 2 - 2024 (1/27/2025)

Regulatory assets under management

Total Number of Accounts68
AUM (Assets Under Management)$ 1,330,710,296

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.

Company Information

DOCK STREET CAPITAL MANAGEMENT LLC

CRD#: 157155

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Contact information

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