Derek G. Frosh

HANOVER SQUARE WEALTH ADVISORS LLC | Senior Vice President–Wealth Management

KING, NC

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CRD#: 2669463

Professional summary

Derek Geoffrey Frosh, CFP®, CIMA® is a registered financial advisor currently at HANOVER SQUARE WEALTH ADVISORS LLC located in King, North Carolina.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Derek has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?

Small Business Planning

Retirement Planning

Insurance Planning

Estate Planning

Comprehensive Financial Planni...

Business Succession Planning

Retirement Income Management

Investment Planning

Are you a "fiduciary"?

Yes

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.

Two-Two Wood Products / 2698 Chestnut Grove Road King,North Carolina 27021 / No/ Privately Held / USD / No / No / / Start Date 1/1/16 / North Carolina Building Contractor's License / 2634 Chestnut Grove Road King,North Carolina United States 27021 / Sole Proprietorship/ Services (Business, Professional, Support) / General construction, remodeling and consulting / Proprietor / owner / / General contractor for construction. Performance of physical construction or scheduling of sub-contractors. / Start Date 10/23/18

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Geoffrey Frosh's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2008

CIMA^®

Certified Investment Management Analyst

Education

Finance

1993 - 1995

Certified Financial Planner®

2008 - 2008

IMCA - Certified Investment Management Analyst® Program

2008 - 2008

Experience

Current

July 3, 2025 - Present

HANOVER SQUARE WEALTH ADVISORS LLC

RIA

CRD#: 336534

KING, NC

Past

January 28, 2013 - July 14, 2025

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WINSTON-SALEM, NC

Past

January 28, 2013 - July 14, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WINSTON-SALEM, NC

Past

January 11, 2001 - January 29, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LEWISVILLE, NC

Past

January 11, 2001 - January 29, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEWISVILLE, NC

Past

March 23, 1998 - January 2, 2001

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

January 29, 1997 - March 3, 1998

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

October 18, 1995 - January 14, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

North Carolina
(7/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/17/1995

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/22/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/22/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

HANOVER SQUARE WEALTH ADVISORS LLC

CRD#: 336534 / SEC#: 801-133697

RIA

Registered Investment Advisory firm - (7/2/2025 120-Day Approval)

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Contact information

Main Address

King, NC

Mailing Address

550 N. Liberty Street Pmb240, Winston-salem, NC 27101

Phone number

(336) 444-2680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (11/1/2025)

Regulatory assets under management

Total Number of Accounts	251
AUM (Assets Under Management)	$ 104,234,026

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Derek G. Frosh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Geoffrey Frosh's CRS (Customer Relationship Summary).

Certified licenses

Education

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AMSOUTH INVESTMENT SERVICES, INC.

BARNETT INVESTMENTS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2000

Series 63

Date: 10/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 2/27/1996

Series 52

Date: 10/17/1995

Series 10

Date: 7/22/2004

Series 9

Date: 7/22/2004

Current Firm

HANOVER SQUARE WEALTH ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HANOVER SQUARE WEALTH ADVISORS LLC

TRUST BUT VERIFY

Contact information

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