Franklin H. Williams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Franklin Hamilton Williams, who also goes by Frank Williams, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1996. Franklin had worked at 11 firms and has passed the Series 66, Series 63, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2020 - May 4, 2022
CHARLES SCHWAB & CO., INC.
July 13, 2018 - May 4, 2022
CHARLES SCHWAB & CO., INC.
January 6, 2017 - June 11, 2018
RAYMOND JAMES & ASSOCIATES, INC.
March 23, 2006 - November 2, 2016
SCOTTRADE, INC.
September 22, 2005 - March 22, 2006
CHASE INVESTMENT SERVICES CORP.
December 15, 2004 - August 16, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
June 23, 2003 - October 29, 2004
HANTZ FINANCIAL SERVICES, INC.
March 3, 2003 - March 19, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
October 24, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
September 25, 2001 - October 31, 2002
WORLDCO, L.L.C.
September 24, 1999 - April 11, 2001
J.P. SECURITIES, INC.
March 25, 1999 - June 9, 1999
AMERIPRISE ADVISOR SERVICES, INC.
August 21, 1996 - July 21, 1997
MULTI-BANK SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/5/2001
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
