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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

FRANCISCO ANTONIO GALAN

Advisor at ADVICE AND PLANNING SERVICES

Sherman Oaks, CA | PASADENA, CA | West Hills, CA

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Search this name across graphsid dfx:ria:06e6bd93-0a8b-bd62-d691-9ca2a4030b89

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 5, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ADVICE AND PLANNING SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 22, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Mar 22, 2002
First registration: Apr 5, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4486394

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Sep 21, 2023	n/a	yes	PASADENA, CA\|Sherman Oaks, CA\|West Hills, CA	Current employment
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Apr 21, 2015	Sep 11, 2023	no	ENCINO, CA\|SAN FRANCISCO, CA\|San Francisco, CA\|Seattle, WA\|BEVERLY HILLS, CA\|BEVERLY HILLS, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Apr 24, 2015	no	CHATSWORTH, CA\|RESEDA, CA\|RESEDA, CA\|WOODLAND HILLS, CA\|CANOGA PARK, CA\|MALIBU, CA\|VAN NUYS, CA\|SHERMAN OAKS, CA\|PANORAMA CITY, CA\|NORTHRIDGE, CA\|NORTHRIDGE, CA\|NORTHRIDGE, CA\|GRANADA HILLS, CA\|PANORAMA CITY, CA\|VAN NUYS, CA\|VAN NUYS, CA\|PORTER RANCH, CA\|WEST HILLS, CA\|CANOGA PARK, CA\|SYLMAR, CA\|SAN FERNANDO, CA\|NORTHRIDGE, CA\|VAN NUYS, CA\|GRANADA HILLS, CA\|WOODLAND HILLS, CA\|WOODLAND HILLS, CA\|NORTHRIDGE, CA\|NORTH HILLS, CA\|MISSION HILLS, CA\|SAN LUIS OBISPO, CA\|LOS ANGELES, CA\|San Fernando, CA\|VALENCIA, CA\|SHERMAN OAKS, CA\|SHERMAN OAKS, CA\|RESEDA, CA\|ARLETA, CA\|Glendora, CA\|GLENDORA, CA\|SUN VALLEY, CA\|SUN VALLEY, CA\|LOS ANGELES, CA\|ENCINO, CA\|SAUGUS, CA\|TARZANA, CA\|STUDIO CITY, CA\|LANCASTER, CA\|LANCASTER, CA\|CASTAIC, CA\|SHERMAN OAKS, CA\|PALMDALE, CA\|TARZANA, CA\|VALENCIA, CA\|SANTA CLARITA, CA\|PALMDALE, CA\|SHERMAN OAKS, CA\|PALMDALE, CA\|VALENCIA, CA\|STEVENSON RANCH, CA\|LANCASTER, CA\|ENCINO, CA\|Encino, CA\|PALMDALE, CA\|LANCASTER, CA\|VALENCIA, CA\|SANTA CLARITA, CA\|PALMDALE, CA\|SAUGUS, CA\|PALMDALE, CA\|CANYON COUNTRY, CA\|VALENCIA, CA\|NEWHALL, CA\|CANOGA PARK, CA\|Arleta, CA\|CANOGA PARK, CA\|CHATSWORTH, CA\|NORTHRIDGE, CA\|NORTHRIDGE, CA\|GRANADA HILLS, CA\|NORTHRIDGE, CA\|PORTER RANCH, CA\|RESEDA, CA\|CANOGA PARK, CA\|NORTHRIDGE, CA\|WOODLAND HILLS, CA\|WOODLAND HILLS, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Sep 29, 2010	Oct 1, 2012	no	CAMARILLO, CA\|SIMI VALLEY, CA\|SIMI VALLEY, CA\|CAMARILLO, CA\|SIMI VALLEY, CA\|SIMI VALLEY, CA\|NEWBURY PARK, CA\|SIMI VALLEY, CA\|CAMARILLO, CA\|MALIBU, CA\|MOORPARK, CA\|BURBANK, CA\|NORTH HOLLYWOOD, CA\|LOS ANGELES, CA\|SAN LUIS OBISPO, CA\|MISSION HILLS, CA\|NORTH HILLS, CA\|NORTHRIDGE, CA\|WOODLAND HILLS, CA\|WOODLAND HILLS, CA\|GRANADA HILLS, CA\|VAN NUYS, CA\|NORTHRIDGE, CA\|SUN VALLEY, CA\|SAN FERNANDO, CA\|SYLMAR, CA\|CANOGA PARK, CA\|SUN VALLEY, CA\|WEST HILLS, CA\|WOODLAND HILLS, CA\|PORTER RANCH, CA\|VAN NUYS, CA\|VAN NUYS, CA\|PANORAMA CITY, CA\|GRANADA HILLS, CA\|NORTHRIDGE, CA\|CANOGA PARK, CA\|NORTHRIDGE, CA\|NORTHRIDGE, CA\|CHATSWORTH, CA\|PANORAMA CITY, CA\|RESEDA, CA\|RESEDA, CA\|SHERMAN OAKS, CA\|VAN NUYS, CA\|CANOGA PARK, CA\|WOODLAND HILLS, CA\|RESEDA, CA\|RESEDA, CA\|CHATSWORTH, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 5, 2002	Dec 17, 2002	no	WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HSBC SECURITIES (USA) INC.	ADVICE AND PLANNING SERVICES	Sep 11, 2023	Sep 21, 2023	10	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	HSBC SECURITIES (USA) INC.	Apr 24, 2015	Apr 21, 2015	-3	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CHASE INVESTMENT SERVICES CORP.	Dec 17, 2002	Sep 29, 2010	2,843	Firm change after gap	Other

Relationships

Registered with (5)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Sep 21, 2023 to presentfactForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Apr 21, 2015 to Sep 11, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Apr 24, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Sep 29, 2010 to Oct 1, 2012factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 5, 2002 to Dec 17, 2002factForm ADV

Dated events

Occurred
Sep 11, 2023
Advisor changed firm
Francisco Antonio Galan left Hsbc Securities (Usa) Inc. for Advice And Planning Services (registered 2023-09-21)
Form ADVobserved 4 days ago