WF
William A. Frankenstein
SOVRAN ADVISORS
Pasadena, CA 91101
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CRD#: 1027453
WF
Professional summary
William Abe Frankenstein, CFP®, who also goes by Bill Frankensein, is a registered financial advisor currently at SOVRAN ADVISORS, LLC located in Pasadena, California and CETERA WEALTH SERVICES, LLC located in Pasadena, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. William has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Frankensein
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; 2. NAME OF OTHER BUSINESS: FOUNDATION FOR SENIOR SERVICES, INVESTMENT RELATED: NO, ADDRESS: 655 NORTH CENTRAL AVENUE #1700 GLENDALE, CA 91203, NATURE OF BUSINESS: NON PROFIT, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: RESOURCE, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: TALK TO SENIORS ABOUT FINANCIAL PLANNING;
CRS (Client Relationship Summary) - RIA
Click below to view William Abe Frankenstein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1982
Experience
Current
February 23, 2024 - Present
SOVRAN ADVISORS, LLC
Office #1: 150 S Los Robles Ave Ste 750, Pasadena, CA 91101RIA
CRD#: 329415
Pasadena, CA
Current
February 22, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 150 S Los Robles Ave Ste 750, Pasadena, CA 91101BD
CRD#: 13572
Pasadena, CA
Past
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Los Angeles, CA
Past
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Los Angeles, CA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WOODLAND HILLS, CA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WOODLAND HILLS, CA
Past
October 15, 2002 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WOODLAND HILLS, CA
Past
September 4, 2002 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
WOODLAND HILLS, CA
Past
April 25, 2001 - August 16, 2002
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WOODLAND HILLS, CA
Past
May 27, 1999 - August 16, 2002
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
October 9, 1995 - April 5, 1999
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
April 10, 1992 - October 10, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
April 6, 1983 - April 7, 1992
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
December 21, 1982 - March 17, 1983
LPL FINANCIAL LLC
BD
CRD#: 6413
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SOVRAN ADVISORS, LLC
COMPASS CAPITAL | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS
CRD#: 329415 / SEC#: 801-129342
RIA
Registered Investment Advisory firm - (1/12/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/7/2024)
RR
California(2/23/2024)
IAR
California(2/23/2024)
RR
Florida(2/23/2024)
RR
Idaho(2/23/2024)
RR
Minnesota(3/7/2025)
RR
Missouri(2/26/2024)
RR
Nevada(2/23/2024)
RR
New Jersey(2/10/2025)
RR
New York(2/23/2024)
RR
Texas(2/23/2024)
IAR
Texas(2/27/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SOVRAN ADVISORS, LLC
COMPASS CAPITAL | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS
CRD#: 329415 / SEC#: 801-129342
RIA
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Contact information
Main Address
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108
Mailing Address
Phone number
(619) 281-9890
Established
Firm type
Fiscal year end
# of Employees
58
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,470 |
| AUM (Assets Under Management) | $ 1,308,617,291 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
