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Detailed Report
JOHN THOMAS FRANCIS
JACK FRANCIS, JOHN T FRANCIS, JOHN FRANCIS
CRD#: 1296945
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 50 A1a North
Suite 112
Ponte Vedra Beach, FL 32082
Registration History
1985199019952000200520102015202020252 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BFIRST NEW YORK SECURITIES L.L.C. (CRD# 16362)2008 - 2009 (<1 year)BUBS SECURITIES LLC (CRD# 7654)1996 - 2004 (7 years)BSBC WARBURG DILLON READ INC. (CRD# 1650)1998 - 1998 (<1 year)BCS FIRST BOSTON CORPORATION (CRD# 816)1994 - 1996 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 1994 (<1 year)BUBS SECURITIES INC. (CRD# 7654)1992 - 1993 (<1 year)BDILLON, READ & CO. INC. (CRD# 1650)1985 - 1992 (6 years)BGIBRALTAR SECURITIES CO. (CRD# 7093)1984 - 1985 (<1 year)BBLINDER, ROBINSON & CO.,INC. (CRD# 5096)1984 - 1984 (<1 year)
License(s)

State Registrations

B
Alabama 8/23/2018
B
New Jersey 8/26/2016
B
Arizona 1/4/2023
B
New Mexico 5/2/2023
B
California 8/26/2016
B
New York 8/26/2016
B
Colorado 9/12/2019
B
North Carolina 9/17/2018
B
Connecticut 7/25/2017
B
Ohio 2/27/2018
B
District of Columbia 5/2/2023
B
Oklahoma 6/15/2022
B
Florida 8/26/2016
B
Pennsylvania 6/25/2018
IA
Florida 9/6/2016
B
South Carolina 8/23/2018
B
Georgia 8/26/2016
B
Texas 1/2/2019
B
Hawaii 1/4/2023
IA
Texas 4/8/2020
B
Louisiana 6/9/2020
B
Utah 5/2/2023
B
Maryland 8/26/2016
B
Vermont 2/26/2018
B
Massachusetts 6/9/2020
B
Virginia 8/26/2016
B
Michigan 11/7/2023
B
Washington 11/19/2024
B
Missouri 5/2/2023
B
West Virginia 5/2/2023
B
Nevada 5/4/2023
B
Wisconsin 6/25/2018
B
New Hampshire 8/23/2018
B
Wyoming 8/3/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
50 A1a North Suite 112, Ponte Vedra Beach, FL 32082
Registered with this firm since 9/6/2016
B
MORGAN STANLEY (CRD#:149777)
50 A1a North Suite 112, Ponte Vedra Beach, FL 32082
Registered with this firm since 8/26/2016
Previous Registration(s)
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IA
 11/30/2012 - 08/29/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) JACKSONVILLE, FL
B
 11/29/2012 - 08/29/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) JACKSONVILLE, FL
IA
 12/03/2010 - 12/06/2012 WADDELL & REED, INC. (CRD#:866) JACKSONVILLE, FL
B
 10/07/2010 - 12/06/2012 WADDELL & REED, INC. (CRD#:866) JACKSONVILLE, FL
B
 12/19/2008 - 06/22/2009 FIRST NEW YORK SECURITIES L.L.C. (CRD#:16362) NEW YORK, NY
B
 04/11/1996 - 03/11/2004 UBS SECURITIES LLC (CRD#:7654) NEW YORK, NY
B
 06/18/1998 - 06/29/1998 SBC WARBURG DILLON READ INC. (CRD#:1650) STAMFORD, CT
B
 02/28/1994 - 03/29/1996 CS FIRST BOSTON CORPORATION (CRD#:816) NEW YORK, NY
B
 04/01/1993 - 03/02/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/06/1992 - 03/25/1993 UBS SECURITIES INC. (CRD#:7654) NEW YORK, NY
B
 09/11/1985 - 03/07/1992 DILLON, READ & CO. INC. (CRD#:1650) STAMFORD, CT
B
 10/31/1984 - 06/04/1985 GIBRALTAR SECURITIES CO. (CRD#:7093)
B
 08/25/1984 - 11/09/1984 BLINDER, ROBINSON & CO.,INC. (CRD#:5096)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.