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Detailed Report
MICHAEL WILFORT CHAVEZ
CRD#: 6163491
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BMORGAN STANLEY (CRD# 149777)2023 - 2023 (<1 year)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Arizona 5/14/2024
IA
California 8/24/2023
B
California 8/24/2023
B
New York 11/18/2024

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
Long Beach, CA
Registered with this firm since 8/24/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Long Beach, CA
Registered with this firm since 8/24/2023
Previous Registration(s)
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B
 06/06/2019 - 08/14/2023 E*TRADE SECURITIES LLC (CRD#:29106) ROLLING HILLS, CA
IA
 06/06/2019 - 08/11/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ROLLING HILLS, CA
B
 03/13/2023 - 08/11/2023 MORGAN STANLEY (CRD#:149777) ROLLING HILLS, CA
IA
 03/25/2016 - 06/05/2019 MORGAN STANLEY (CRD#:149777) OAKLAND, CA
B
 03/01/2016 - 06/05/2019 MORGAN STANLEY (CRD#:149777) OAKLAND, CA
B
 02/09/2015 - 12/28/2015 MML INVESTORS SERVICES, LLC (CRD#:10409) SAN FRANCISCO, 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.