Derek J. Froman
Professional summary
Derek James Froman, who also goes by Derek Froman, is a registered financial advisor currently at ROBINHOOD ASSET MANAGEMENT located in Denver, Colorado and ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Derek has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Derek James Froman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2025 - Present
ROBINHOOD ASSET MANAGEMENT
January 6, 2025 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746November 14, 2024 - January 16, 2025
LPL ENTERPRISE, LLC
November 14, 2024 - January 16, 2025
LPL ENTERPRISE, LLC
February 23, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
February 23, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
September 5, 2023 - February 27, 2024
FIRST COMMAND ADVISORY SERVICES
July 3, 2023 - February 27, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 7/3/2023
General Securities Representative ExaminationFINRA
Current Firm
ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 81,015 |
| AUM (Assets Under Management) | $ 158,695,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
