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THOMAS FRANCIS
THOMAS JAY FRANCIS, TJ Francis, Thomas J Francis, Thomas Francis
CRD#: 7256188
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 GILBERT, AZ
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 GILBERT, AZ
Registration History
20202021202220232024202520262 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2020 - 2022 (2 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2021 - 2022 (1 year)
Disclosure(s)
View By:
7/9/2020
Financial
Final
7/8/2020
Financial
Final
7/7/2020
Financial
Final
License(s)

State Registrations

B
Alabama 11/18/2024

B
Montana 12/2/2024

B
Alaska 11/15/2024

B
Nebraska 11/5/2024

B
Arizona 11/15/2024

B
Nevada 11/19/2024

IA
Arizona 12/6/2024

B
New Hampshire 11/20/2024

B
Arkansas 11/26/2024

B
New Jersey 11/6/2024

B
California 11/5/2024

B
New Mexico 11/18/2024

B
Colorado 11/15/2024

B
New York 11/24/2024

B
Connecticut 11/5/2024

B
North Carolina 11/15/2024

B
Delaware 11/18/2024

B
North Dakota 11/18/2024

B
District of Columbia 11/21/2024

B
Ohio 11/5/2024

B
Florida 11/5/2024

B
Oklahoma 11/18/2024

B
Georgia 11/5/2024

B
Oregon 11/21/2024

B
Hawaii 12/5/2024

B
Pennsylvania 11/15/2024

B
Idaho 11/5/2024

B
Puerto Rico 11/13/2024

B
Illinois 11/18/2024

B
Rhode Island 11/18/2024

B
Indiana 11/18/2024

B
South Carolina 11/19/2024

B
Iowa 11/12/2024

B
South Dakota 11/19/2024

B
Kansas 11/5/2024

B
Tennessee 11/15/2024

B
Kentucky 11/18/2024

B
Texas 11/5/2024

B
Louisiana 12/11/2024

IA
Texas 11/20/2024

B
Maine 11/18/2024

B
Utah 11/1/2024

B
Maryland 11/7/2024

B
Vermont 11/15/2024

B
Massachusetts 11/22/2024

B
Virginia 11/16/2024

B
Michigan 11/18/2024

B
Washington 11/18/2024

B
Minnesota 11/5/2024

B
West Virginia 11/18/2024

B
Mississippi 11/20/2024

B
Wisconsin 11/5/2024

B
Missouri 12/2/2024

B
Wyoming 11/5/2024

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)
GILBERT, AZ
Registered with this firm since 11/20/2024

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
GILBERT, AZ
Registered with this firm since 10/31/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/08/2024 - 08/12/2024 SOFI WEALTH LLC (CRD#:167958) Cottonwood Heights, UT
B
04/08/2024 - 08/12/2024 SOFI SECURITIES LLC (CRD#:151717) Cottonwood Heights, UT
IA
02/02/2023 - 04/01/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
B
02/02/2023 - 04/01/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
IA
06/04/2021 - 10/13/2022 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) SALT LAKE CITY, UT
B
09/04/2020 - 10/12/2022 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SALT LAKE CITY, UT
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B
Broker
IA
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.