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Thomas Christopher Froehlich

Investment Adviser Representative at NOVEM GROUP

Spring Lake Heights, NJCRD #1635098Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
39 yrs
States Registered
15 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 15 states
ArizonaCaliforniaColoradoConnecticutFloridaGeorgiaMassachusettsMichiganNew JerseyNew YorkNorth CarolinaOklahomaPennsylvaniaTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/20/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 6/5/1987
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/25/1987
Series 24
General Securities Principal Examination
Passed 8/13/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $250,0002.50%
$250,001 - $500,0002.25%
$500,001 - $1,000,0002.00%
$1,000,001 - $5,000,0001.75%
Over $5,000,0001.50%
Source

Novem Group Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC WEALTH, INC.Current
10/11/2024Spring Lake Heights, NJ
NOVEM GROUPCurrent
7/27/2020Spring Lake Heights, NJ
AMERICAN PORTFOLIOS ADVISORS, INC
3/9/200710/11/2024Holbrook, NY
FROEHLICH FINANCIAL GROUP, LTD.
3/31/201711/17/2020Spring Lake Heights, NJ
FROEHLICH FINANCIAL GROUP, LTD.
8/24/200012/31/2016Spring Lake Heights, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Christopher Froehlich 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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