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Detailed Report
FRANCIS XAVIER WILLIAMS
FRANK WILLIAMS
CRD#: 1542092
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 500 WEST MADISON
SUITE 3800
CHICAGO, IL 60661
Registration History
199019952000200520102015202020252 FIRMS2000 - 2003 (3 years)2 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2010 (6 years)2 FIRMS2010 - Present (14 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2000 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1991 (5 years)
License(s)

State Registrations

B
Arizona 8/13/2010
B
Michigan 8/13/2010
B
California 8/13/2010
B
Mississippi 8/23/2019
B
Colorado 6/14/2024
B
New Mexico 7/2/2020
B
Connecticut 6/21/2018
B
New York 6/7/2012
B
Florida 8/13/2010
B
South Carolina 6/1/2017
B
Illinois 8/13/2010
B
Texas 8/13/2010
IA
Illinois 8/13/2010
B
Virginia 8/30/2021
B
Indiana 5/20/2015
B
Washington 8/13/2010
B
Maryland 8/13/2010
B
Wisconsin 8/13/2010

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
500 WEST MADISON SUITE 3800, CHICAGO, IL 60661
CHICAGO, IL
Registered with this firm since 8/13/2010
B
OPPENHEIMER & CO. INC. (CRD#:249)
500 WEST MADISON SUITE 3800, CHICAGO, IL 60661
CHICAGO, IL
Registered with this firm since 8/13/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/21/2004 - 08/16/2010 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHICAGO, IL
B
 07/21/2004 - 08/16/2010 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHICAGO, IL
IA
 07/01/2003 - 07/22/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) CHICAGO, IL
B
 07/01/2003 - 07/22/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 06/30/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CHICAGO, IL
B
 05/12/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 05/25/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 09/12/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/24/1986 - 09/19/1991 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.