Derek Frosh has been Managing Member and Chief Compliance Officer of Hanover Square Wealth Advisors since April 2025, is a control person of the firm and directly owns 75% or more of it.
Hanover Square Wealth Advisors LLC is a firm with $102M under management, 98 clients and 1 adviser across 2 offices, as of its July 2026 filing.
Derek Frosh is Founder - Possibility Catalyst of Hanover Square Wealth Advisors, based in Winston-Salem, North Carolina. He started his financial career in 1995 as a stockbroker at a discount brokerage firm and moved to a bank investment advisory platform in 1997, where he built his business as an advisor for more than 15 years before moving to a wirehouse for another 12 years. He served eight years in the Marine Corps.
Derek Frosh’s longest registration was 12 years at UBS Financial Services Inc. (2013–2025). Before joining Hanover Square Wealth Advisors in 2025, Derek Frosh was registered through UBS Financial Services Inc. and Wells Fargo Advisors, LLC.
- – present · 1 yearKing, NC · Adviser representative · Firm CRD 336534
- UBS Financial Services Inc.– · 12 yearsWinston-Salem, NC · Adviser representative · Firm CRD 8174
- Wells Fargo Advisors, LLC– · 12 yearsLewisville, NC · Adviser representative · Firm CRD 19616
Professional designations
Listed by Hanover Square Wealth Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst (CIMA®)
- Certified Exit Planning Advisor (CEPA®)
Investment adviser representative registrations
Derek Frosh is registered as an investment adviser representative in North Carolina, since July 2025.
- North CarolinaSince 3 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 22 July 2004 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 22 July 2004 |
| Series 66 | Uniform Combined State Law Examination | 19 December 2000 |
| Series 7 | General Securities Representative Examination | 27 February 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 October 1995 |
| Series 52 | Municipal Securities Representative Examination | 17 October 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Securities Representative Examination
- Full name
- Derek Geoffrey Frosh
- CRD
- 2669463
- Firm
- Hanover Square Wealth Advisors · CRD 336534
- Role
- Managing Member and Chief Compliance Officer
- Office
- King, NC
- Registration
- Investment adviser registration
- In the industry since
- November 1995
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- hanoversquarewa.com
Where does Derek Frosh work?
Derek Frosh has been Managing Member and Chief Compliance Officer of Hanover Square Wealth Advisors LLC since April 2025, and is a control person of the firm.
Is Derek Frosh a financial advisor?
Yes. Derek Frosh has a current investment-adviser registration in North Carolina, through Hanover Square Wealth Advisors since July 2025.
How many years of experience does Derek Frosh have?
Derek Frosh has 30 years in the financial industry, since November 1995, across 3 adviser firms.
What exams has Derek Frosh passed?
Derek Frosh has passed 6 licensing exams: the Series 52, Series 63, Series 7, Series 66, Series 10 and Series 9. The earliest, the Series 52, was passed in October 1995. FINRA credited Derek Frosh with the SIE, which began in October 2018.
Where did Derek Frosh work before Hanover Square Wealth Advisors?
Before Hanover Square Wealth Advisors, Derek Frosh was registered through Wells Fargo Advisors, LLC, January 2001 to January 2013.
Where is Derek Frosh based?
Derek Frosh’s registered office is in King, NC.
Is Derek Frosh registered with FINRA?
No. Derek Frosh has no current broker registration.
Is Derek Frosh a CFP?
Hanover Square Wealth Advisors lists Derek Frosh with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Derek Frosh’s record?
Search CRD 2669463 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Derek Frosh’s full registration record.