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DF

Derek J. Froman

CRD#: 7727828
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DF
Derek James Froman

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.

Derek James Froman, who also goes by Derek Froman, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2023. Derek had worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek Froman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 9, 2025 - April 17, 2026

ROBINHOOD ASSET MANAGEMENT

RIA
CRD#: 323736
Denver, CO
Past

January 6, 2025 - April 17, 2026

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Denver, CO
Past

November 14, 2024 - January 16, 2025

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
ENGLEWOOD, CO
Past

November 14, 2024 - January 16, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
ENGLEWOOD, CO
Past

February 23, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
ENGLEWOOD, CO
Past

February 23, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ENGLEWOOD, CO
Past

September 5, 2023 - February 27, 2024

FIRST COMMAND ADVISORY SERVICES

RIA
CRD#: 281958
Aurora, CO
Past

July 3, 2023 - February 27, 2024

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
AURORA, CO

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".
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT

CRD#: 323736 / SEC#: 801-127371

RIA
Registered Investment Advisory firm - (1/14/2025 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/31/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2023
Securities Industry Essentials Examination

Current Firm

RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT

CRD#: 323736 / SEC#: 801-127371

RIA
Registered Investment Advisory firm - (1/14/2025 Approved)
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Contact information

Main Address
85 Willow Road, Menlo Park, CA 94025
Mailing Address
Phone number
650-940-2700 EXT 31450
Established
Firm type
Fiscal year end
# of Employees
56

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAM FORM ADV PART 2A CLIENT BROCHURE (11/7/2025)

Regulatory assets under management

Total Number of Accounts81,015
AUM (Assets Under Management)$ 158,695,275

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report

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.

Company Information

ROBINHOOD ASSET MANAGEMENT

CRD#: 323736

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