Mark R. Frombach

ROFFMAN MILLER ASSOCIATES

Philadelphia, PA 19103

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CRD#: 4001899

Professional summary

Mark Richard Frombach is a registered financial advisor currently at ROFFMAN MILLER ASSOCIATES INC located in Philadelphia, Pennsylvania.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Mark has worked at 2 firms and has passed the Series 66, Series 31 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 Mark Richard Frombach'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 15, 2006 - Present

ROFFMAN MILLER ASSOCIATES INC

Office #1: 1835 Market Street Suite 500, Philadelphia, PA 19103

RIA

CRD#: 106019

Philadelphia, PA

Past

October 22, 1999 - November 8, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PHILADELPHIA, PA

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".

ROFFMAN MILLER ASSOCIATES INC

ROFFMAN MILLER ASSOCIATES INC | ROFFMAN MILLLER ASSOCIATES INC

CRD#: 106019 / SEC#: 801-38491

RIA

Registered Investment Advisory firm - (3/22/1991 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

New Jersey
(10/22/2020)

IAR

Pennsylvania
(11/15/2006)

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: 11/3/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 11/15/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/21/1999

General Securities Representative Examination

Current Firm

ROFFMAN MILLER ASSOCIATES INC

ROFFMAN MILLER ASSOCIATES INC | ROFFMAN MILLLER ASSOCIATES INC

CRD#: 106019 / SEC#: 801-38491

RIA

Registered Investment Advisory firm - (3/22/1991 Approved)

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Contact information

Main Address

1835 Market Street Suite 500, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 981-1030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROFFMAN MILLER ASSOCIATES, INC. PART 2 (5/12/2025)

Regulatory assets under management

Total Number of Accounts	1,563
AUM (Assets Under Management)	$ 2,895,159,684

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.

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Mark R. Frombach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Frombach's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROFFMAN MILLER ASSOCIATES INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ROFFMAN MILLER ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/1999

Series 31

Date: 11/15/1999

Series 7

Date: 10/21/1999

Current Firm

ROFFMAN MILLER ASSOCIATES INC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROFFMAN MILLER ASSOCIATES INC

TRUST BUT VERIFY

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