Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Franks is a registered investment advisor representative with Stephens. William has been in the financial services industry since 1986 and has a broad range of experience. William has passed the Uniform Securities Agent State Law Examination, Uniform Investment Adviser Law Examination, General Securities Representative Examination, Securities Industry Essentials Examination, Limited Representative-Equity Trader Exam, General Securities Sales Supervisor Examination (Options Module & General Module), Registered Options Principal Examination, General Securities Sales Supervisor - Options Module Examination and General Securities Sales Supervisor - General Module Examination. William is registered in 14 states, including Arkansas, Florida, Georgia, Illinois, Louisiana, Mississippi, Missouri, New York, North Carolina, South Carolina, Tennessee, and Texas. William has worked at Stephens since 1994 and has been with them since 2020. Prior to that, William was with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
AR
07/24/2020 - Present
Stephens (LITTLE ROCK AR)
AR
06/27/1994 - 01/08/2020
STEPHENS (LITTLE ROCK AR)
NY
08/21/1984 - 10/23/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/24/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/30/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/14/1998
Series 4 - Registered Options Principal Examination
BC
Issued 09/07/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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