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WF

William Franks

STEPHENS
Little Rock, AR 72201
Some features on this profile are disabled
CRD#: 1295583
WF

Professional summary

William Franks, who also goes by William Jess Franks, is a registered financial advisor currently at STEPHENS located in Little Rock, Arkansas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 2 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 4 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William Jess Franks

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Franks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Franks's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 24, 2020 - Present

STEPHENS

Office #1: 111 Center St, Little Rock, AR 72201
RIA
BD
CRD#: 3496
Little Rock, AR
Current

May 18, 2020 - Present

STEPHENS

Office #1: 111 Center Street, Little Rock, AR 72201-3507
RIA
BD
CRD#: 3496
Little Rock, AR
Past

June 27, 1994 - January 8, 2020

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

August 21, 1984 - October 23, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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".
STEPHENS
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS

CRD#: 3496 / SEC#: 801-15510, 8-1927

RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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
Arkansas
(5/18/2020)
IAR
Arkansas
(7/24/2020)
RR
Florida
(8/21/2020)
RR
Georgia
(7/24/2020)
RR
Illinois
(8/21/2020)
RR
Louisiana
(7/24/2020)
RR
Mississippi
(7/24/2020)
RR
Missouri
(8/21/2020)
RR
New York
(7/24/2020)
RR
North Carolina
(7/24/2020)
RR
South Carolina
(7/24/2020)
RR
Tennessee
(7/24/2020)
RR
Texas
(7/24/2020)
IAR
Texas
(7/24/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/6/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/7/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/18/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/10/2020
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/30/2020
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/14/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/7/1984
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

STEPHENS
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS

CRD#: 3496 / SEC#: 801-15510, 8-1927

RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
111 Center Street, Little Rock, AR 72201
Mailing Address
111 Center Street, Little Rock, AR 72201-3507
Phone number
(501) 377-2000
Established
Arkansas since 01/28/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
623

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 A (8/21/2025)
PRIVATE CLIENT GROUP ADVISORY PROGRAMS (8/21/2025)
STEPHENS CAPITAL MANAGEMENT ADVISORY PROGRAMS (3/31/2025)
STEPHENS EQUITY RESEARCH SERVICES PROGRAM (3/31/2025)
STEPHENS SMALL-MID CAP CORE GROWTH PROGRAM (3/31/2025)
STEPHENSCHOICE (3/31/2025)
STEPHENS FIXED INCOME MANAGEMENT (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
SI HOLDINGS INC.SHAREHOLDER COMMON
BRADBURY, CURTIS FRANKLIN JRVICE CHAIRMAN OF BOARD810347
BROOKSHIRE, LAURA STEPHENSSENIOR EXECUTIVE VICE PRESIDENT6513303
CHANEY, DONALD LAWRENCESENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER/INVESTMENT ADVISOR4341765
DORAMUS, MARK CHRISTOPHERSENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER1888235
EICHLER, JOSEPH BRADFORDSR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR1999320
HINES, ZOE ANNEXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER709945
MAYO, RACHEL ELIZABETH MONDLEXECUTIVE VICE PRESIDENT/GENERAL COUNSEL7341761
STEPHENS, JOHN CALHOUNCO-CHIEF EXECUTIVE OFFICER5384316
STEPHENS, WARREN MILES AMERINECO-CHIEF EXECUTIVE OFFICER5399161

Regulatory assets under management

Total Number of Accounts21,784
AUM (Assets Under Management)$ 16,444,534,017

Disclosures

Regulatory Event47
Civil Event3
Arbitration3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/22/2025
Cover Page
Report
02/07/2024
Cover Page
Report
11/29/2022
Cover Page
Report

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.

Company Information

STEPHENS

STEPHENS

CRD#: 3496Little Rock, AR 72201

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