Moses Francis

CRD 4026577 · Fidelity Brokerage Services LLC · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Moses L. Francis Jr.; Moses L. Francis Jr; Moses Lawrence Francis Jr; Moses Lawrence Francis Jr.; Moses Lawrence Francis; Moses L Francis

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4026577 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (12)

From the source registration record · current first

Strategic Advisers LLCCurrent
Spring, TX · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Westlake, TX · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Spring, TX · IA capacity

Aug 8, 2021 → Mar 31, 2025
J.P. Morgan Securities LLC
Spring, TX · IA capacity

Apr 21, 2016 → Jun 8, 2021
J.P. Morgan Securities LLC
Spring, TX · BC capacity

Apr 21, 2016 → Jun 8, 2021
Capital Analysts
Sugarland, TX · IA capacity

Dec 1, 2015 → Dec 11, 2015
Lincoln Investment Planning, LLC
Sugar Land, TX · IA capacity

Sep 10, 2015 → Dec 11, 2015
Lincoln Investment
Sugar Land, TX · BC capacity

Sep 10, 2015 → Dec 11, 2015
Ubs Financial Services Inc.
The Woodlands, TX · IA capacity

Apr 28, 2014 → Feb 27, 2015
Ubs Financial Services Inc.
The Woodlands, TX · BC capacity

May 7, 2012 → Feb 27, 2015
Chase Investment Services Corp.
Houston, TX · BC capacity

Sep 4, 2006 → Sep 16, 2011
Mony Securities Corporation
New York, NY · BC capacity

Nov 10, 1999 → Aug 15, 2001

Source & corrections

Where this page comes from

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