Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DAVID L FROTHINGHAM
CRD#: 2583202
IA
B
STRATEGIC ADVISERS LLCCRD#: 104555 MERRIMACK, NH
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 MERRIMACK, NH
0
Disclosures
29
Years of Experience
View By:
State Registrations
B
Alabama 5/3/2021
B
Nebraska 5/3/2021
B
Alaska 5/3/2021
B
Nevada 2/12/2021
B
Arizona 4/14/2005
B
New Hampshire 4/14/2005
B
Arkansas 2/12/2021
IA
New Hampshire 3/31/2025
B
California 4/14/2005
B
New Jersey 4/14/2005
B
Colorado 4/14/2005
B
New Mexico 4/14/2005
B
Connecticut 4/14/2005
B
New York 4/14/2005
B
Delaware 5/3/2021
B
North Carolina 4/15/2005
B
District of Columbia 4/14/2005
B
North Dakota 5/3/2021
B
Florida 4/14/2005
B
Ohio 4/15/2005
B
Georgia 4/14/2005
B
Oklahoma 4/14/2005
IA
Georgia 3/31/2025
B
Oregon 5/3/2021
B
Hawaii 5/3/2021
B
Pennsylvania 4/14/2005
B
Idaho 4/14/2005
B
Puerto Rico 5/3/2021
B
Illinois 4/14/2005
B
Rhode Island 4/14/2005
B
Indiana 4/14/2005
B
South Carolina 4/14/2005
B
Iowa 5/3/2021
B
South Dakota 5/3/2021
B
Kansas 2/12/2021
B
Tennessee 4/14/2005
B
Kentucky 4/14/2005
B
Texas 4/14/2005
B
Louisiana 5/3/2021
IA
Texas 3/31/2025
B
Maine 5/3/2021
B
Utah 4/14/2005
B
Maryland 4/14/2005
B
Vermont 5/3/2021
B
Massachusetts 4/14/2005
B
Virgin Islands 5/3/2021
B
Michigan 4/14/2005
B
Virginia 4/14/2005
B
Minnesota 4/14/2005
B
Washington 4/14/2005
B
Mississippi 5/3/2021
B
West Virginia 5/3/2021
B
Missouri 2/12/2021
B
Wisconsin 4/14/2005
B
Montana 5/3/2021
B
Wyoming 5/3/2021
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2018 - 03/31/2025 | TOWSON, MD | |
IA | 04/25/2005 - 07/13/2018 | MERRIMACK, NH | |
B | 02/08/1995 - 12/31/2004 | SMITHFIELD, RI |
SMITHFIELD, RI
02/08/1995 - 12/31/2004
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.