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Detailed Report
FRANCISCO ANTONIO GALAN
CRD#: 4486394
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 15233 Ventura Blvd
SUITE 500
Sherman Oaks, CA 91403
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2002 (<1 year)2 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2023 (8 years)2 FIRMS2023 - Present (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BBROKER DEALER FINANCIAL SERVIC... (CRD# 8073)2003 - 2005 (1 year)BCHICAGO INVESTMENT GROUP, LLC (CRD# 11853)2003 - 2003 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)
License(s)

State Registrations

B
California 9/21/2023
IA
California 9/21/2023

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)
15233 Ventura Blvd SUITE 500, Sherman Oaks, CA 91403
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Registered with this firm since 9/21/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
15233 Ventura Blvd SUITE 500, Sherman Oaks, CA 91403
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Registered with this firm since 9/21/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/21/2015 - 09/11/2023 HSBC SECURITIES (USA) INC. (CRD#:19585) BEVERLY HILLS, CA
B
 04/21/2015 - 09/11/2023 HSBC SECURITIES (USA) INC. (CRD#:19585) BEVERLY HILLS, CA
IA
 10/01/2012 - 04/24/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) Glendora, CA
B
 10/01/2012 - 04/24/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) Glendora, CA
IA
 09/29/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) VAN NUYS, CA
B
 06/18/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) VAN NUYS, CA
B
 09/12/2003 - 07/06/2005 BROKER DEALER FINANCIAL SERVICES CORP. (CRD#:8073) WEST DES MOINES, IA
B
 01/04/2003 - 09/11/2003 CHICAGO INVESTMENT GROUP, LLC (CRD#:11853)
FINRA expelled the firm on 09/14/2010
CHICAGO, IL
IA
 04/05/2002 - 12/17/2002 MORGAN STANLEY (CRD#:7556) WOODLAND HILLS, CA
B
 02/26/2002 - 12/17/2002 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.