Thomas Francis
Investment Adviser Representative at Strategic Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Francis is an investment adviser representative with Strategic Advisers LLC in Herriman, UT, where they have been registered since 2025. They have worked in the securities industry since 2021 and have been registered with 4 firms, including Fidelity Personal and Workplace Advisors and SOFI Wealth LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas and Utah.
Registrations & licenses
- Investment adviser:
- Texas, Utah
- Broker:
52 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Fidelity InvestmentsMay 2020 – Oct 2022American Fork, UT
- LendioOct 2019 – Mar 2020Lehi, UT
- VerizonDec 2015 – Oct 2019Riverton, UT
- FanzzAug 2016 – Dec 2016South Jordan, UT
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2022 – Mar 2024Salt Lake City, UT
- Salt Lake Community CollegeApr 2016 – Dec 2022Taylorville, UT
- Bank of America, N.A.Feb 2023 – Mar 2024Salt Lake City, UT
- SoFi Securities, LLCApr 2024 – Aug 2024Cottonwood Heights, UT
- SoFi Wealth, LLCApr 2024 – Aug 2024Cottonwood Heights, UT
- Fidelity InvestmentsAug 2024 – no end date reportedPhoenix, AZ
- Fidelity InvestmentsMar 2025 – no end date reportedBoston, MA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Strategic Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 17,064
- Offices listed on AdvisorFinder:
- 3
- Main office:
- Boston, MA
- SEC file number:
- 801-13243
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Strategic Advisers LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Francis has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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