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WILLIAM FRANKS
WILLIAM JESS FRANKS
CRD#: 1295583
IA
B
STEPHENSCRD#: 3496 111 CENTER ST
LITTLE ROCK, AR 72201
LITTLE ROCK, AR 72201
0
Disclosures
38
Years of Experience
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State Registrations
B
Arkansas 5/18/2020
B
Missouri 8/21/2020
IA
Arkansas 7/24/2020
B
New York 7/24/2020
B
Florida 8/21/2020
B
North Carolina 7/24/2020
B
Georgia 7/24/2020
B
South Carolina 7/24/2020
B
Illinois 8/21/2020
B
Tennessee 7/24/2020
B
Louisiana 7/24/2020
B
Texas 7/24/2020
B
Mississippi 7/24/2020
IA
Texas 7/24/2020
SRO Registrations
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
B
Registered with this firm since 5/18/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/27/1994 - 01/08/2020 | LITTLE ROCK, AR | |
B | 08/21/1984 - 10/23/1992 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.