• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAADVICE AND PLANNING SERVICES (CRD# 20472)2022 - Present (2 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2018 - Present (6 years)BSCOTTRADE, INC. (CRD# 8206)2012 - 2018 (5 years)BE*TRADE SECURITIES LLC (CRD# 29106)2010 - 2012 (2 years)BAMERICAN PORTFOLIOS FINANCIAL ... (CRD# 18487)2004 - 2010 (5 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2004 (6 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1996 - 1997 (1 year)BINVESTORS ASSOCIATES, INC. (CRD# 958)1995 - 1996 (<1 year)IAADVICE AND PLANNING SERVICES (CRD# 20472)2018 - 2022 (3 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
Disclosure(s)
View By:
12/26/2012
Customer Dispute
Settled
8/25/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/7/2022

B
Montana 1/7/2022

B
Alaska 1/7/2022

B
Nebraska 1/10/2022

B
Arizona 1/13/2022

B
Nevada 1/20/2022

B
Arkansas 1/10/2022

B
New Hampshire 10/27/2020

B
California 5/24/2022

B
New Jersey 5/30/2018

B
Colorado 1/7/2022

B
New Mexico 1/7/2022

B
Connecticut 5/30/2018

B
New York 5/29/2018

B
Delaware 1/7/2022

IA
New York 8/9/2022

B
District of Columbia 1/12/2022

B
North Carolina 1/11/2022

B
Florida 5/24/2022

B
North Dakota 1/11/2022

B
Georgia 6/9/2022

B
Ohio 9/8/2021

B
Hawaii 4/8/2022

B
Oklahoma 1/12/2022

B
Idaho 1/7/2022

B
Oregon 1/7/2022

B
Illinois 1/12/2022

B
Pennsylvania 5/30/2018

B
Indiana 1/7/2022

B
Rhode Island 5/30/2018

B
Iowa 1/10/2022

B
South Carolina 1/10/2022

B
Kansas 1/7/2022

B
South Dakota 1/19/2022

B
Kentucky 1/7/2022

B
Tennessee 1/7/2022

B
Louisiana 1/7/2022

B
Texas 1/7/2022

B
Maine 10/26/2020

B
Utah 1/11/2022

B
Maryland 1/7/2022

B
Vermont 10/26/2020

B
Massachusetts 10/27/2020

B
Virginia 1/8/2022

B
Michigan 10/29/2020

B
Washington 1/11/2022

B
Minnesota 1/11/2022

B
West Virginia 1/12/2022

B
Mississippi 1/7/2022

B
Wisconsin 1/11/2022

B
Missouri 1/7/2022

B
Wyoming 1/25/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
Centerport, NY
Registered with this firm since 8/9/2022

B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Centerport, NY
Registered with this firm since 5/29/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/30/2018 - 02/24/2022 ADVICE AND PLANNING SERVICES (CRD#:20472) MELVILLE, NY
IA
05/10/2017 - 03/07/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
11/26/2012 - 03/07/2018 SCOTTRADE, INC. (CRD#:8206) COMMACK, NY
B
01/27/2010 - 10/09/2012 E*TRADE SECURITIES LLC (CRD#:29106) GARDEN CITY, NY
B
07/10/2004 - 01/06/2010 AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (CRD#:18487) RIVERHEAD, NY
B
08/27/1997 - 07/07/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
04/05/1996 - 08/14/1997 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
10/02/1995 - 05/21/1996 INVESTORS ASSOCIATES, INC. (CRD#:958)
FINRA expelled the firm on 05/14/1998
HACKENSACK, NJ
For additional information about investment advisers or broker-dealers, please visit
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.