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Detailed Report
STEPHEN CHARLES JANAK
CRD#: 4190124
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 6400 FANNIN STREET
SUITE 2450
HOUSTON, TX 77030
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2005 (3 years)IAADVICE AND PLANNING SERVICES (CRD# 20472)2016 - Present (8 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2005 - Present (19 years)BARAGON FINANCIAL SERVICES, INC. (CRD# 16023)2000 - 2001 (1 year)
License(s)

State Registrations

B
Arizona 3/10/2021
B
New Mexico 3/10/2021
B
Arkansas 9/12/2022
B
New York 3/28/2012
B
Colorado 2/22/2021
B
North Carolina 7/15/2016
B
Connecticut 8/26/2016
B
Oklahoma 2/22/2021
B
Florida 8/30/2016
B
Rhode Island 8/26/2016
B
Louisiana 11/27/2018
B
Tennessee 2/22/2021
B
Maine 8/26/2016
B
Texas 7/20/2017
B
Massachusetts 8/26/2016
IA
Texas 7/20/2017
B
Minnesota 2/22/2021
B
Utah 8/20/2018
B
Montana 2/22/2021
B
Vermont 8/26/2016
B
New Hampshire 8/26/2016

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)
6400 FANNIN STREET SUITE 2450, HOUSTON, TX 77030
Sugar Land, TX
Registered with this firm since 8/22/2016
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
6400 FANNIN STREET SUITE 2450, HOUSTON, TX 77030
Sugar Land, TX
Registered with this firm since 5/21/2005
Previous Registration(s)
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B
 11/05/2001 - 05/02/2005 MUTUAL OF AMERICA LIFE INSURANCE COMPANY (CRD#:15356) NEW YORK, NY
B
 11/05/2001 - 05/02/2005 MUTUAL OF AMERICA SECURITIES CORPORATION (CRD#:27878) NEW YORK, NY
B
 05/30/2000 - 10/31/2001 ARAGON FINANCIAL SERVICES, INC. (CRD#:16023) IRVINE, CA
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.