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Mark Richard Frombach

Roffman Miller Associates Inc

Philadelphia, PA

CRD 4001899

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Employer firm

Roffman Miller Associates Inc CRD 106019

$3.20B regulatory AUM 5 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Roffman Miller Associates Inc

1835 Market Street Suite 500, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2020-10-22
PA RA APPROVED 2006-11-15
  • NJ RA
    APPROVED
    Since 2020-10-22
  • PA RA
    APPROVED
    Since 2006-11-15

Branch Locations

1835 Market Street Suite 500, Philadelphia, PA 19103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Roffman Miller Associates, Inc. Philadelphia PA 11/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-11-03
  • S66 Uniform Combined State Law Examination
    1999-11-03
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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