Derek Geoffrey Frosh
Investment Adviser Representative at Hanover Square Wealth Advisors LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Derek Geoffrey Frosh is an investment adviser representative with Hanover Square Wealth Advisors LLC in King, NC, where they have been registered since 2025. They have worked in the securities industry since 1995 and have been registered with 3 firms, including UBS Financial Services Inc. and Wells Fargo Advisors, LLC. They have passed 7 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in North Carolina.
Registrations & licenses
- Investment adviser:
- North Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- UBS Financial Services Inc.Jan 2013 – Jul 2025Winston-salem, NC
- Hanover Square Wealth Advisors LLCJul 2025 – no end date reportedKing, NC
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Hanover Square Wealth Advisors LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $1,000,000
- Estimated blended rate
- 0.0125
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in King, NC
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Derek Geoffrey Frosh has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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