Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
Registration History
20062008201020122014201620182020202220242026IAADVICE AND PLANNING SERVICES (CRD# 20472)2008 - Present (17 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2006 - Present (18 years)BFIRST INVESTORS CORPORATION (CRD# 305)2006 - 2006 (<1 year)
Disclosure(s)
View By:
6/27/2017
Customer Dispute
Settled
5/5/2017
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 9/26/2006
B
Montana 9/26/2006
B
Alaska 9/26/2006
B
Nebraska 9/26/2006
B
Arizona 9/26/2006
B
Nevada 9/26/2006
B
Arkansas 9/26/2006
B
New Hampshire 9/26/2006
B
California 9/26/2006
B
New Jersey 9/19/2006
B
Colorado 9/19/2006
B
New Mexico 9/26/2006
B
Connecticut 9/26/2006
B
New York 9/26/2006
B
Delaware 9/26/2006
B
North Carolina 9/26/2006
B
District of Columbia 9/19/2006
B
North Dakota 9/26/2006
B
Florida 9/19/2006
B
Ohio 9/20/2006
B
Georgia 9/26/2006
B
Oklahoma 9/26/2006
B
Hawaii 9/26/2006
B
Oregon 9/26/2006
B
Idaho 9/26/2006
B
Pennsylvania 9/26/2006
B
Illinois 9/26/2006
B
Rhode Island 9/26/2006
B
Indiana 9/26/2006
B
South Carolina 9/26/2006
B
Iowa 9/26/2006
B
South Dakota 9/26/2006
B
Kansas 9/26/2006
B
Tennessee 9/26/2006
B
Kentucky 9/26/2006
B
Texas 9/26/2006
B
Louisiana 9/19/2006
IA
Texas 8/3/2012
B
Maine 9/26/2006
B
Utah 9/26/2006
B
Maryland 9/19/2006
B
Vermont 9/19/2006
B
Massachusetts 9/26/2006
B
Virginia 9/26/2006
B
Michigan 9/26/2006
B
Washington 9/26/2006
B
Minnesota 9/26/2006
B
West Virginia 9/26/2006
B
Mississippi 9/26/2006
B
Wisconsin 9/26/2006
B
Missouri 9/26/2006
B
Wyoming 9/26/2006

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)
Fort Worth, TX
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034
Registered with this firm since 7/3/2008
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Fort Worth, TX
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034
Registered with this firm since 9/19/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/14/2006 - 09/15/2006 FIRST INVESTORS CORPORATION (CRD#:305) DENVER, CO
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.