William S. Franks
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.
William Scott Franks, who also goes by Scotty Franks, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2009. William had worked at 4 firms and has passed the Series 99TO, SIE, Series 7 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
December 17, 2020 - November 23, 2021
REALIZED FINANCIAL, INC.
July 23, 2018 - January 23, 2019
MML INVESTORS SERVICES, LLC
July 12, 2017 - January 25, 2018
PH PARTNERS, LLC
March 24, 2009 - December 16, 2015
KESTRA INVESTMENT SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
REALIZED FINANCIAL, INC.
CRD#: 22333 / SEC#: 801-70703, 8-39659
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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