DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

EILEEN ROBIN FROHMAN

Advisor at LPL ENTERPRISE, LLC

WHITE PLAINS, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e7f25e31-d32a-0501-5d35-56eb19aae201

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 25, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Mar 25, 1994
First registration: Mar 31, 2005
Dual registered: yes, broker-dealer
Other names: EILEEN ROBIN FROHMAN|eileen frohman
IAPD individual key: 2074485

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	WHITE PLAINS, NY	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Sep 13, 2023	Nov 14, 2024	no	White Plains, NY	Previous registration
LAFFER TENGLER INVESTMENTS, INC.	Independent wealth	Sep 23, 2021	Nov 5, 2021	no	Darien, CT	Previous registration
FISHER INVESTMENTS	Independent wealth	Oct 25, 2019	Mar 11, 2020	no	PLANO, TX\|DARIEN, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 31, 2017	Oct 18, 2019	no	STAMFORD, CT	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Jun 4, 2012	Dec 31, 2015	no	BOSTON, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 31, 2005	Apr 5, 2012	no	STAMFORD, CT\|NEW YORK, NY\|STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
LAFFER TENGLER INVESTMENTS, INC.	PRUCO SECURITIES, LLC	Nov 5, 2021	Sep 13, 2023	677	Firm change after gap	RIA to ibd
FISHER INVESTMENTS	LAFFER TENGLER INVESTMENTS, INC.	Mar 11, 2020	Sep 23, 2021	561	Firm change after gap	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FISHER INVESTMENTS	Oct 18, 2019	Oct 25, 2019	7	Firm change	Wirehouse to RIA
MANULIFE INVESTMENT MANAGEMENT (US) LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 31, 2015	Jul 31, 2017	578	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Apr 5, 2012	Jun 4, 2012	60	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
106435:7691:MA:2015-12-23	Dec 31, 2015	Jul 31, 2017	BOSTON, MA	Firm change after gap

Relationships

Registered with (6)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 13, 2023 to Nov 14, 2024factForm ADV
→ LAFFER TENGLER INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 23, 2021 to Nov 5, 2021factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Oct 25, 2019 to Mar 11, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 31, 2017 to Oct 18, 2019factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Jun 4, 2012 to Dec 31, 2015factForm ADV

Dated events

No dated event names this entity yet.