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Derek Geoffrey Frosh

Derek G. Frosh

HANOVER SQUARE WEALTH ADVISORS | Senior Vice President–Wealth Management
KING, NC
Some features on this profile are disabled
CRD#: 2669463
Derek Geoffrey Frosh

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.
The advisor shows no other business activity.

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.

BD
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

BD
CRD#: 19616
LEWISVILLE, NC
Past

March 23, 1998 - January 2, 2001

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

January 29, 1997 - March 3, 1998

BARNETT INVESTMENTS, INC.

BD
CRD#: 14897
JACKSONVILLE, FL
Past

October 18, 1995 - January 14, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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".
HS
HANOVER SQUARE WEALTH ADVISORS LLC
HANOVER SQUARE WEALTH ADVISORS LLC

CRD#: 336534 / SEC#: 801-133697

RIA
Registered Investment Advisory firm - (7/2/2025 Approved)

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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 10/17/1995
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/22/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/22/2004
General Securities Sales Supervisor - Options Module Examination

Current Firm

HS
HANOVER SQUARE WEALTH ADVISORS LLC
HANOVER SQUARE WEALTH ADVISORS LLC

CRD#: 336534 / SEC#: 801-133697

RIA
Registered Investment Advisory firm - (7/2/2025 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
2

SEC notice filing (1 States and Territories)

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

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 Accounts251
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.

Company Information

HANOVER SQUARE WEALTH ADVISORS LLC

Senior Vice President–Wealth ManagementCRD#: 336534King, NC

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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