William A. Franke

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CRD#: 723790

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 Albert Franke was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1981. William had worked at 7 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 8 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 16, 2014 - September 4, 2018

LAUREL WEALTH PLANNING

RIA

CRD#: 122035

EDINA, MN

Past

January 2, 2009 - December 16, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

EDEN PRAIRIE, MN

Past

September 22, 2006 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

EDEN PRAIRIE, MN

Past

January 7, 1986 - December 16, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

EDEN PRAIRIE, MN

Past

January 5, 1984 - January 24, 1986

PLANNERS FINANCIAL SERVICES, INC.

CRD#: 6751

Past

February 18, 1981 - December 20, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

February 18, 1981 - December 20, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

February 18, 1981 - December 20, 1983

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

LAUREL WEALTH PLANNING

LAURA A. KUNTZ | LAUREL WEALTH PLANNING LLC | LAUREL WEALTH PLANNING | LAURA A. KUNTZ, CPA/PFS, MBT | LAURA A. KUNTZ, CPA, MBT

CRD#: 122035 / SEC#: 801-79116

RIA

Registered Investment Advisory firm - (2/10/2014 Approved)

Minnesota

Registered Investment Advisory firm - (4/1/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/25/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/13/1981

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/13/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/9/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LAUREL WEALTH PLANNING

LAURA A. KUNTZ | LAUREL WEALTH PLANNING LLC | LAUREL WEALTH PLANNING | LAURA A. KUNTZ, CPA/PFS, MBT | LAURA A. KUNTZ, CPA, MBT

CRD#: 122035 / SEC#: 801-79116

RIA

Registered Investment Advisory firm - (2/10/2014 Approved)

Minnesota

Registered Investment Advisory firm - (4/1/2014 Terminated)

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Contact information

Main Address

3300 Edinborough Way Suite 790, Edina, MN 55435

Mailing Address

Phone number

(952) 854-6250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (5/28/2025)

Regulatory assets under management

Total Number of Accounts	941
AUM (Assets Under Management)	$ 395,558,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/08/2025	Cover Page	Report
01/08/2025	Cover Page	Report
07/21/2023	Cover Page	Report
10/12/2022	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.

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William A. Franke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PLANNERS FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

LAUREL WEALTH PLANNING

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/1981

Series 7

Date: 5/19/1984

Series 22

Date: 7/13/1981

Series 6

Date: 2/13/1981

Series 8

Date: 7/9/1986

Current Firm

LAUREL WEALTH PLANNING

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LAUREL WEALTH PLANNING

TRUST BUT VERIFY

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