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Detailed Report
AMY SUE SCARBOROUGH
CRD#: 2984006
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 97 MT. AUBURN STREET
CAMBRIDGE, MA 02138
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2003 (2 years)2 FIRMS2012 - Present (12 years)BSECURITIES AMERICA, INC. (CRD# 10205)2011 - 2012 (<1 year)BMERCER ALLIED COMPANY, L.P. (CRD# 37404)2009 - 2011 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2004 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2000 (1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1999 - 1999 (<1 year)
License(s)

State Registrations

B
Colorado 1/3/2022
IA
Massachusetts 5/15/2012
B
Connecticut 1/7/2014
B
New Hampshire 9/22/2012
B
District of Columbia 1/3/2022
B
New Jersey 1/29/2025
B
Florida 9/22/2012
B
New York 8/13/2012
B
Maine 8/13/2012
B
Rhode Island 8/13/2012
B
Maryland 1/4/2021
B
Vermont 1/7/2014
B
Massachusetts 4/20/2012
B
Virginia 9/28/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
97 MT. AUBURN STREET, CAMBRIDGE, MA 02138
Gloucester, MA
Registered with this firm since 5/15/2012
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
97 MT. AUBURN STREET, CAMBRIDGE, MA 02138
Gloucester, MA
Registered with this firm since 4/20/2012
Previous Registration(s)
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B
 06/28/2011 - 03/09/2012 SECURITIES AMERICA, INC. (CRD#:10205) SOUTH BURLINGTON, VT
B
 05/11/2009 - 01/20/2011 MERCER ALLIED COMPANY, L.P. (CRD#:37404) LATHAM, NY
B
 01/21/2004 - 01/27/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 11/03/2000 - 10/17/2003 CREDIT SUISSE FIRST BOSTON LLC (CRD#:816) NEW YORK, NY
B
 07/06/2000 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
 06/24/1999 - 06/29/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 05/17/1999 - 06/10/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.