Moses L. Francis

STRATEGIC ADVISERS LLC

SPRING, TX

Some features on this profile are disabled

CRD#: 4026577

Professional summary

Moses L. Francis JR., who also goes by Moses L. Francis Jr., Moses L. Francis Jr, Moses Lawrence Francis Jr, Moses Lawrence Francis Jr., Moses Lawrence Francis, Moses L Francis, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Spring, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.

Moses is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Moses has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

ACTIVITY TYPE: 4 - OUTSIDE BUSINESS ACTIVITY WITH A NOT-FOR-PROFIT ORGANIZATION NAME OF ENTITY: GOD'S HOUSE OF PRAISE INC. POSITION: PASTOR / PRESIDENT START DATE: 3/1/2020 ADDRESS: 715 SPRING, TX. P.O. BOX 854 SPRING, TX. DETAILS: INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 10-20 HOURS PER WEEK HOURS DURING TRADING: 1

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Moses L. Francis JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SPRING, TX

Current

July 26, 2021 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: One Destiny Way, Westlake, TX 76262

CRD#: 7784

Westlake, TX

Past

August 8, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SPRING, TX

Past

April 21, 2016 - June 8, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SPRING, TX

Past

April 21, 2016 - June 8, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

SPRING, TX

Past

December 1, 2015 - December 11, 2015

CAPITAL ANALYSTS

RIA

CRD#: 162200

Sugarland, TX

Past

September 10, 2015 - December 11, 2015

LINCOLN INVESTMENT

RIA

CRD#: 519

SUGAR LAND, TX

Past

September 10, 2015 - December 11, 2015

LINCOLN INVESTMENT

CRD#: 519

SUGAR LAND, TX

Past

April 28, 2014 - February 27, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

THE WOODLANDS, TX

Past

May 7, 2012 - February 27, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

THE WOODLANDS, TX

Past

September 4, 2006 - September 16, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

HOUSTON, TX

Past

November 10, 1999 - August 15, 2001

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/28/2021)

Alaska
(8/16/2021)

Arizona
(8/3/2021)

Arkansas
(7/29/2021)

California
(7/27/2021)

Colorado
(7/29/2021)

Connecticut
(7/27/2021)

Delaware
(8/6/2021)

District of Columbia
(7/27/2021)

Florida
(7/27/2021)

Georgia
(7/27/2021)

Hawaii
(7/28/2021)

Idaho
(7/26/2021)

Illinois
(8/3/2021)

Indiana
(8/3/2021)

Iowa
(7/29/2021)

Kansas
(7/27/2021)

Kentucky
(9/28/2021)

Louisiana
(8/3/2021)

Maine
(7/27/2021)

Maryland
(7/27/2021)

Massachusetts
(7/27/2021)

Michigan
(10/6/2021)

Minnesota
(8/3/2021)

Mississippi
(7/29/2021)

Missouri
(7/27/2021)

Montana
(7/27/2021)

Nebraska
(7/29/2021)

Nevada
(8/10/2021)

New Hampshire
(7/27/2021)

New Jersey
(7/26/2021)

New Mexico
(7/29/2021)

New York
(8/1/2021)

North Carolina
(7/27/2021)

North Dakota
(7/28/2021)

Ohio
(7/27/2021)

Oklahoma
(7/29/2021)

Oregon
(8/5/2021)

Pennsylvania
(7/27/2021)

Puerto Rico
(8/3/2021)

Rhode Island
(7/30/2021)

South Carolina
(8/6/2021)

South Dakota
(8/18/2021)

Tennessee
(7/29/2021)

Texas
(7/28/2021)

IAR

Texas
(3/31/2025)

Utah
(7/27/2021)

Vermont
(7/28/2021)

Virginia
(7/28/2021)

Washington
(7/29/2021)

West Virginia
(8/4/2021)

Wisconsin
(7/27/2021)

Wyoming
(8/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/26/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/1/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Moses L. Francis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Moses L. Francis JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CHASE INVESTMENT SERVICES CORP.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2014

Series 63

Date: 9/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2014

Series 6

Date: 9/1/2006

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors