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Frank Daniel Williams

Piper Sandler & Co.

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About Frank Daniel Williams

Frank Daniel Williams is a financial professional with extensive experience in the industry. Frank has been registered with FINRA since 2021 and has held previous roles at H.C. Wainwright & Co., LLC and Deutsche Bank Securities Inc. Frank currently works at Piper Sandler & Co. and is licensed in Connecticut. Frank is a Series 7, Series 63, Series 86, and Series 87 licensed professional.

Firm Information

Frank Williams is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Frank Williams’s Registration & Firm History

CT

01/24/2023 - Present

Piper Sandler & Co. (Greenwich CT)

NY

10/06/2022 - 01/25/2023

H.C.WAINWRIGHT & CO., LLC (NEW YORK NY)

NY

07/10/2021 - 10/07/2022

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/24/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/24/2022

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/19/2021

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/10/2021

Series 7TO - General Securities Representative Examination

BC

Issued 06/05/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Frank Daniel Williams.
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