Robert M. Frohlich
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.
Robert Michael Frohlich was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 4 firms and has passed the Series 63, Series 65, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - December 2, 2022
ESOTERIC WEALTH PARTNERS LLC
June 13, 2006 - January 9, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 14, 2000 - February 19, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 29, 2000 - December 31, 2000
NATIONWIDE SECURITIES, LLC
April 13, 1999 - December 22, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESOTERIC WEALTH PARTNERS LLC
CRD#: 168497 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 16,805,076 |
Red Flags
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