David R. Frost

J.H. DARBIE & CO.

New York, NY 10005

Some features on this profile are disabled

CRD#: 3082074

Professional summary

David Randle Frost, who also goes by David R Frost, Eric Frost, is a registered financial professional currently at J.H. DARBIE & CO., INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David R Frost | Eric Frost

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) - BD

Click below to view David Randle Frost'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

November 11, 2015 - Present

J.H. DARBIE & CO., INC.

Office #1: 48 Wall St., Suite 1206, New York, NY 10005

RIA

CRD#: 43520

New York, NY

Past

June 2, 2015 - September 16, 2015

HALCYON CABOT PARTNERS, LTD.

CRD#: 32664

NEW YORK, NY

Past

November 11, 2014 - May 27, 2015

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

April 24, 2014 - November 12, 2014

REALTA EQUITIES, INC.

CRD#: 23769

New York, NY

Past

August 7, 2013 - May 23, 2014

JOHN CARRIS INVESTMENTS LLC

CRD#: 145767

HOBOKEN, NJ

Past

November 26, 2008 - May 20, 2013

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

January 14, 2008 - December 1, 2008

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

November 19, 2003 - December 1, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 31, 1998 - December 1, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/11/2015)

Connecticut
(10/28/2022)

Florida
(3/21/2019)

Georgia
(11/11/2015)

New York
(11/11/2015)

North Carolina
(11/18/2015)

Texas
(11/11/2015)

Virginia
(12/17/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/28/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/1998

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona

Registered Investment Advisory firm - SEC (7/3/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

New York

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

48 Wall St., Suite 1206. Suite 1206, New York, NY 10005

Mailing Address

48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005

Phone number

(212) 269-7271

Established

New York since 06/03/1997

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RABINOWITZ, ROBERT Y	PRES, GSP	2821450
ANDERSON, ERIK JASON	CHIEF COMPLIANCE OFFICER	2686661
MATSIS, MICHAEL A	AMLCO	1455158
NAVEED, HASNAIN	FINOP, POO, PFO	7004810

Disclosures

Regulatory Event	10
Civil Event	1
Arbitration	1

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

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David R. Frost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Randle Frost's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALCYON CABOT PARTNERS, LTD.

NATIONAL SECURITIES CORPORATION

REALTA EQUITIES, INC.

JOHN CARRIS INVESTMENTS LLC

JOSEPH GUNNAR & CO. LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2008

Series 66

Date: 9/28/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/28/1998

FINRA

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.H. DARBIE & CO., INC.

TRUST BUT VERIFY

Similar Advisors