Stephen A. Frohsin

WOODMONT INVESTMENT COUNSEL

Nashville, TN 37215

Some features on this profile are disabled

CRD#: 2955350

Professional summary

Stephen Adler Frohsin is a registered financial advisor currently at WOODMONT INVESTMENT COUNSEL, LLC located in Nashville, Tennessee.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Stephen has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

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 Stephen Adler Frohsin'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®

None

Experience

Current

July 29, 2004 - Present

WOODMONT INVESTMENT COUNSEL, LLC

Office #1: 3825 Bedford Ave Suite 202, Nashville, TN 37215

RIA

CRD#: 109779

Nashville, TN

Past

August 14, 2000 - July 22, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NASHVILLE, TN

Past

August 14, 2000 - July 22, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 3, 1997 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

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".

WOODMONT INVESTMENT COUNSEL, LLC

CRD#: 109779 / SEC#: 801-57961

RIA

Registered Investment Advisory firm - (9/11/2000 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

Tennessee
(7/29/2004)

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 65

Date: 11/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/2/1997

General Securities Representative Examination

Current Firm

WOODMONT INVESTMENT COUNSEL, LLC

CRD#: 109779 / SEC#: 801-57961

RIA

Registered Investment Advisory firm - (9/11/2000 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3825 Bedford Ave Suite 202, Nashville, TN 37215

Mailing Address

Phone number

(615) 297-6144

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WIC 2A AA 3.20.2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,569
AUM (Assets Under Management)	$ 1,742,857,741

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.

Similar Advisors

Thomas Ennis

TRUIST ADVISORY SERVICES, INC.

IAR

SUITE 620, TN

James Parker

MORGAN STANLEY

IAR

Franklin, TN

Steven Glasgow

GLOBAL RETIREMENT PARTNERS LLC

IAR

Nashville, TN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen A. Frohsin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Adler Frohsin's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOODMONT INVESTMENT COUNSEL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

Primary Firm SEC Registration

WOODMONT INVESTMENT COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/1999

Series 63

Date: 12/9/1997

Series 7

Date: 12/2/1997

Current Firm

WOODMONT INVESTMENT COUNSEL, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WOODMONT INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

Similar Advisors