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MOSES L. FRANCIS JR.
MOSES L. FRANCIS Jr, MOSES LAWRENCE FRANCIS JR, MOSES LAWRENCE FRANCIS JR., MOSES LAWRENCE FRANCIS, Moses L Francis
CRD#: 4026577
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 SPRING, TX
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 SPRING, TX
Registration History
200020022004200620082010201220142016201820202022202420263 FIRMS2015 - 2015 (<1 year)2 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - 2015 (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2011 (5 years)BMONY SECURITIES CORPORATION (CRD# 4386)1999 - 2001 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - 2015 (<1 year)
Disclosure(s)
View By:
10/15/2020
Financial
Final
License(s)

State Registrations

B
Alabama 7/28/2021

B
Nebraska 7/29/2021

B
Alaska 8/16/2021

B
Nevada 8/10/2021

B
Arizona 8/3/2021

B
New Hampshire 7/27/2021

B
Arkansas 7/29/2021

B
New Jersey 7/26/2021

B
California 7/27/2021

B
New Mexico 7/29/2021

B
Colorado 7/29/2021

B
New York 8/1/2021

B
Connecticut 7/27/2021

B
North Carolina 7/27/2021

B
Delaware 8/6/2021

B
North Dakota 7/28/2021

B
District of Columbia 7/27/2021

B
Ohio 7/27/2021

B
Florida 7/27/2021

B
Oklahoma 7/29/2021

B
Georgia 7/27/2021

B
Oregon 8/5/2021

B
Hawaii 7/28/2021

B
Pennsylvania 7/27/2021

B
Idaho 7/26/2021

B
Puerto Rico 8/3/2021

B
Illinois 8/3/2021

B
Rhode Island 7/30/2021

B
Indiana 8/3/2021

B
South Carolina 8/6/2021

B
Iowa 7/29/2021

B
South Dakota 8/18/2021

B
Kansas 7/27/2021

B
Tennessee 7/29/2021

B
Kentucky 9/28/2021

B
Texas 7/28/2021

B
Louisiana 8/3/2021

IA
Texas 8/8/2021

B
Maine 7/27/2021

B
Utah 7/27/2021

B
Maryland 7/27/2021

B
Vermont 7/28/2021

B
Massachusetts 7/27/2021

B
Virginia 7/28/2021

B
Michigan 10/6/2021

B
Washington 7/29/2021

B
Minnesota 8/3/2021

B
West Virginia 8/4/2021

B
Mississippi 7/29/2021

B
Wisconsin 7/27/2021

B
Missouri 7/27/2021

B
Wyoming 8/2/2021

B
Montana 7/27/2021

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
SPRING, TX
Registered with this firm since 8/8/2021

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
SPRING, TX
Registered with this firm since 7/26/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/21/2016 - 06/08/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) SPRING, TX
B
04/21/2016 - 06/08/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) SPRING, TX
IA
12/01/2015 - 12/11/2015 CAPITAL ANALYSTS (CRD#:162200) Sugarland, TX
IA
09/10/2015 - 12/11/2015 LINCOLN INVESTMENT PLANNING, LLC (CRD#:519) SUGAR LAND, TX
B
09/10/2015 - 12/11/2015 LINCOLN INVESTMENT (CRD#:519) SUGAR LAND, TX
IA
04/28/2014 - 02/27/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) THE WOODLANDS, TX
B
05/07/2012 - 02/27/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) THE WOODLANDS, TX
B
09/04/2006 - 09/16/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
11/10/1999 - 08/15/2001 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
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Broker
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Investment Adviser
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.