Francis 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.
Francis Hunnewell Williams, who also goes by Frank Williams, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1966. Francis had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2021 - July 17, 2025
GILDER GAGNON HOWE & CO. LLC
September 19, 1988 - July 17, 2025
GILDER GAGNON HOWE & CO. LLC
September 23, 1987 - August 17, 1988
MCKINLEY ALLSOPP, INC.
July 9, 1980 - March 6, 1987
CANTOR FITZGERALD & CO.
July 5, 1977 - October 6, 1983
MONNESS CRESPI HARDT & CO., INC.
June 14, 1976 - January 23, 1977
HALCYON SECURITIES, INC.
October 18, 1966 - June 25, 1976
MONNESS, WILLIAMS & SIDEL
Primary Firm SEC Registration
GILDER GAGNON HOWE & CO. LLC
CRD#: 2002 / SEC#: 801-65667, 8-30196
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/30/1965
Registered Representative ExaminationF04
Date: 4/25/1977
Financial Principal ExaminationSeries 00
Date: 10/10/1966
General Securities Principal ExaminationCurrent Firm
GILDER GAGNON HOWE & CO. LLC
CRD#: 2002 / SEC#: 801-65667, 8-30196
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWE, DAVID STEWART | MANAGING MEMBER | 812707 |
| RIZAVI, SHAIZA MARIAM | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | 2874858 |
| ANDERSON, TRAVIS KNAPP | MANAGING MEMBER | 853424 |
| DEUTSCH, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | 4565264 |
| MCCORMICK, MICHAEL PATRICK | MEMBER | 1857693 |
| ALI, SHAFQAT | CHIEF INFORMATION SECURITY OFFICER/MEMBER | 6009773 |
| ESPOSITO, LAURA MICHELE | CHIEF COMPLIANCE OFFICER | 6727167 |
| HUYNH, DAVID CO | CHIEF FINANCIAL OFFICER | 5443515 |
Regulatory assets under management
| Total Number of Accounts | 8,767 |
| AUM (Assets Under Management) | $ 11,604,602,601 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 09/20/2024 | ||
| 11/10/2023 | ||
| 12/15/2022 |
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.
