William B. Frankel

EVERCORE GROUP L.L.C.

New York, NY 10055

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CRD#: 1428152

Professional summary

William Balter Frankel is a registered financial professional currently at EVERCORE GROUP L.L.C. located in New York, New York and MIZUHO SECURITIES USA LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 19 firms and has passed the SIE, Series 3, Series 7, Series 16 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view William Balter Frankel'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®

None

Experience

Current

December 23, 2015 - Present

EVERCORE GROUP L.L.C.

Office #1: 55 East 52nd Street, New York, NY 10055

CRD#: 42405

New York, NY

Current

February 17, 2017 - Present

MIZUHO SECURITIES USA LLC

Office #1: 1271 Avenue Of The Americas, New York, NY 10020

CRD#: 19647

NEW YORK, NY

Current

December 11, 2017 - Present

ARETE RESEARCH LLC

Office #1: 1309 Walmsley Ave, Dallas, TX 75208

CRD#: 128496

Dallas, TX

Past

February 16, 2023 - November 18, 2024

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757

NEW YORK, NY

Past

October 29, 2020 - January 13, 2025

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

May 19, 2016 - December 22, 2020

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

February 12, 2016 - May 12, 2016

PNC FIG ADVISORY, INC.

CRD#: 143093

ALLENTOWN, PA

Past

November 12, 2014 - November 8, 2016

SEB SECURITIES, INC.

CRD#: 23710

LONDON,

Past

October 9, 2014 - December 31, 2015

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

CRD#: 28195

NEW YORK, NY

Past

June 11, 2014 - September 22, 2014

LIQUIDNET, INC.

CRD#: 103987

NEW YORK, NY

Past

April 14, 2014 - July 20, 2022

BTIG, LLC

CRD#: 122225

SAN FRANCISCO, CA

Past

April 9, 2014 - May 18, 2022

XTELLUS CAPITAL PARTNERS, INC.

CRD#: 156048

NEW YORK, NY

Past

March 12, 2014 - February 19, 2021

ABN AMRO SECURITIES (USA) LLC

CRD#: 151796

NEW BRUNSWICK, NJ

Past

July 23, 2012 - March 7, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 9, 2004 - October 14, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 13, 2003 - October 14, 2011

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

June 18, 2002 - February 24, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 13, 2001 - May 23, 2002

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 21, 1997 - March 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 15, 1986 - December 17, 1987

LLOYDS AMERICA SECURITIES CORPORATION

CRD#: 17018

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/10/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/7/2008

General Securities Representative Examination

General Industry/Product Exam

Series 16

Date: 7/19/1997

NYSE Supervisory Analyst Examination

Principal/Supervisory Exam

Series 4

Date: 10/15/2008

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

ARETE RESEARCH LLC

CRD#: 128496 / SEC#: , 8-66145

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

1309 Walmsley Ave, Dallas, TX 75208

Mailing Address

1309 Walmsley Ave, Dallas, TX 75208

Phone number

(617) 357-4801

Established

Delaware since 06/20/2003

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ARETE RESEARCH LLP	OWNER
HASSAY, LAURIE ANN	FINOP	5676461
MERRILL, FRANCIS ROBERT IV	HEAD OF US EQUITY SALES, CCO	4734216

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

William B. Frankel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MIZUHO SECURITIES USA LLC

ARETE RESEARCH LLC

BERENBERG CAPITAL MARKETS LLC

COMMERZ MARKETS LLC

H.C.WAINWRIGHT & CO., LLC

PNC FIG ADVISORY, INC.

SEB SECURITIES, INC.

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

LIQUIDNET, INC.

BTIG, LLC

XTELLUS CAPITAL PARTNERS, INC.

ABN AMRO SECURITIES (USA) LLC

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

GOLDMAN SACHS & CO. LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LLOYDS AMERICA SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 3

Date: 10/10/2011

Series 7

Date: 7/7/2008

Series 16

Date: 7/19/1997

Series 4

Date: 10/15/2008

FINRA

Investors' Exchange LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

ARETE RESEARCH LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ARETE RESEARCH LLC

TRUST BUT VERIFY

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