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Detailed Report
ANTHONY PAILUN SHIAO
ANTHONY PAILUN SAIAO
CRD#: 3059530
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2004 (2 years)2 FIRMS2004 - 2005 (1 year)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - Present (18 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2001 (3 years)
License(s)

State Registrations

B
Arizona 5/4/2022
B
Massachusetts 11/29/2018
B
California 2/12/2007
B
Michigan 1/21/2025
IA
California 2/12/2007
B
Nevada 10/22/2024
B
Colorado 4/27/2022
B
New York 9/21/2009
B
Hawaii 9/12/2022
B
Texas 12/3/2020
B
Idaho 9/10/2024
B
Washington 4/5/2021
B
Louisiana 6/27/2014

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)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
La Canada, CA
Registered with this firm since 2/12/2007
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
La Canada, CA
Registered with this firm since 2/12/2007
Previous Registration(s)
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IA
 01/23/2006 - 01/08/2007 WM FINANCIAL SERVICES, INC. (CRD#:599) PASADENA, CA
B
 01/23/2006 - 01/08/2007 WM FINANCIAL SERVICES, INC. (CRD#:599) PASADENA, CA
IA
 02/19/2004 - 09/19/2005 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) HAWTHORNE, CA
B
 02/19/2004 - 09/19/2005 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
IA
 04/20/2001 - 02/24/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 04/09/2001 - 02/24/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 06/25/1998 - 06/27/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, 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.