Thomas Francis

Current Employers

Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2025-09-18
TX	RA	APPROVED_RES	2025-03-31

UT RA
APPROVED

Since 2025-09-18
TX RA
APPROVED_RES

Since 2025-03-31

Branch Locations

Herriman, UT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Fidelity Investments	American Fork	UT	05/2020	10/2022
Lendio	Lehi	UT	10/2019	03/2020
Verizon	Riverton	UT	12/2015	10/2019
Fanzz	South Jordan	UT	08/2016	12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Salt Lake City	UT	10/2022	03/2024
Salt Lake Community College	Taylorville	UT	04/2016	12/2022
Bank Of America, N.A.	Salt Lake City	UT	02/2023	03/2024
Sofi Securities, Llc	Cottonwood Heights	UT	04/2024	08/2024
Sofi Wealth, Llc	Cottonwood Heights	UT	04/2024	08/2024
Fidelity Investments	Phoenix	AZ	08/2024	Present
Fidelity Investments	Boston	MA	03/2025	Present

05/2020 → 10/2022

Fidelity Investments

American Fork, UT
10/2019 → 03/2020

Lendio

Lehi, UT
12/2015 → 10/2019

Verizon

Riverton, UT
08/2016 → 12/2016

Fanzz

South Jordan, UT
10/2022 → 03/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Salt Lake City, UT
04/2016 → 12/2022

Salt Lake Community College

Taylorville, UT
02/2023 → 03/2024

Bank Of America, N.A.

Salt Lake City, UT
04/2024 → 08/2024

Sofi Securities, Llc

Cottonwood Heights, UT
04/2024 → 08/2024

Sofi Wealth, Llc

Cottonwood Heights, UT
08/2024 → Present

Fidelity Investments

Phoenix, AZ
03/2025 → Present

Fidelity Investments

Boston, MA

Previous Registrations

2024-11-20 → 2025-03-31

Fidelity Personal And Workplace Advisors

Gilbert, AZ
2024-04-08 → 2024-08-12

Sofi Wealth Llc

Cottonwood Heights, UT

San Francisco, CA
2023-02-02 → 2024-04-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Salt Lake City, UT
2021-06-04 → 2022-10-13

Fidelity Personal And Workplace Advisors

Salt Lake City, UT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-05-26
S63	Uniform Securities Agent State Law Examination	2020-09-11

S66 Uniform Combined State Law Examination

2021-05-26
S63 Uniform Securities Agent State Law Examination

2020-09-11

Other Names

Thomas Jay Francis
Tj Francis
Thomas Francis
Thomas J Francis

View on SEC IAPD