JF
John T. Francis
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CRD#: 1296945
JF
John Thomas Francis
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.
John Thomas Francis, who also goes by Jack Francis, John T Francis, John Francis, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Aliases
Jack Francis | John T Francis | John Francis
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.
1. REAL ESTATE OWNERSHIP LLC's:SINGLE FAMILY FOR ALL: 19301/100 BOARDWALK DR. UNIT 834 PONTE VEDRA BEACH FL/440 TIMBERWALK CT UNIT 911 PONTE VEDRA BEACH FL 32082/100 BOARDWALK DR UNIT 836 PONTE VEDRA BEACH FL 32082/840 SHORELINE CIRCLE PONTE VEDRA BEACH FL 32082,DEC 2009/COMMERCIAL,111 NATURES WALK PARKWAY UNIT # 106 ST AUGUSTINE FL 32092,SEPTEMBER 2007. RE: real estate LLC's/ spend an aggregate of 1 hour per month looking at books.(rents, problems,bank statements etc) RE: Jax Lax I spend zero hours per month 2. BUSINESS OWNERSHIP :FRANCIS REALTY & PROPERTY MANAGEMENT, LLC;SECRETARY;REAL ESTATE OWNERSHIP;VEDRA BEACH, FL 32082;YES INVESTMENT REAL ESTATE;JUNE 2010. 3. OUTSIDE BUSINESS ACTIVITIES :JAX LAX LLC;LLC ;SPORTING GOODS RETAIL;PASSIVE INVESTOR;110 CUMBERLAND PARK DR SUITE 104;NO;SEPTEMBER 2009;0 HRS. 4. Rental Property; PONTE VEDRA BEACH, FL; Rental; Investment related; real estate holdings and management; 06/2009; During business hours: 0; After business hours: 0 5. Montana Escondida S.A.; Investment related Yes; Rental; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); Jan/2013; During business hours: 0; After business hours: 0; Earning rental income once the house is constructed 6. Propiedades Y Lotes Corona Del Mar, Sociedad Anonima; Investment related; Manuel Antonio, Costa Rica; Private Company; President (proprietor, partner, officer, director, employee, trustee, agent); Feb 2007; During business hours: 0; After business hours: 0.2 7. Anrod Corp S.A.; Investment related; Manuel Antonio, Costa Rica; Private Company; President (proprietor, partner, officer, director, employee, trustee, agent); Feb 2007; During business hours: 0; After business hours: 0.2 8. *318494 - Santa Sophia S.A.; Investment Related - Yes; Costa Rica; Other; Investor, Officer, Partner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 04/2006; During Business Hours: 0; After Business Hours: 1; Administrative. *318484 - Francis Realty & Property Management LLC; Investment related: Yes; ponte vedra beach, Florida; Real Estate; Partner(proprietor, partner, officer, director, employee, trustee, agent); 06/2009; During business hours: 1; After business hours: 1; My Wife is in real estate investing. I am a partner on the LLC. My duties are just to let her bounce her ideas off of me and add input RE; quality of the real estate aquistion
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®
NoneExperience
Past
September 6, 2016 - September 18, 2026
MORGAN STANLEY
RIA
CRD#: 149777
Ponte Vedra Beach, FL
Past
August 26, 2016 - September 18, 2026
MORGAN STANLEY
BD
CRD#: 149777
Ponte Vedra Beach, FL
Past
November 30, 2012 - August 29, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
JACKSONVILLE, FL
Past
November 29, 2012 - August 29, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
JACKSONVILLE, FL
Past
December 3, 2010 - December 6, 2012
WADDELL & REED
RIA
CRD#: 866
JACKSONVILLE, FL
Past
October 7, 2010 - December 6, 2012
WADDELL & REED
BD
CRD#: 866
JACKSONVILLE, FL
Past
December 19, 2008 - June 22, 2009
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
June 18, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
April 11, 1996 - March 11, 2004
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
February 28, 1994 - March 29, 1996
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
April 1, 1993 - March 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 6, 1992 - March 25, 1993
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 11, 1985 - March 7, 1992
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
October 31, 1984 - June 4, 1985
GIBRALTAR SECURITIES CO.
BD
CRD#: 7093
Past
August 25, 1984 - November 9, 1984
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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".
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(914) 225-1000
Established
Delaware since 02/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
29,481
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,703,720 |
| AUM (Assets Under Management) | $ 1,961,887,313,229 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/11/2026 | ||
| 08/20/2025 | ||
| 07/23/2024 |
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.
