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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Daniel James Bubbico

Advisor at ADVICE AND PLANNING SERVICES

Tega Cay, SC | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:0a03dadf-f89c-6421-3eb7-2b2cee508b70

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Jul 2, 2013 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: Jun 12, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jun 12, 2001
First registration: Jul 2, 2013
Dual registered: yes, broker-dealer
Other names: Dan J Bubbico|Daniel James Bubbico|Daniel J. Bubbico
IAPD individual key: 4385312

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	Apr 22, 2026	n/a	yes	Tega Cay, SC\|CHARLOTTE, NC	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 15, 2025	Apr 19, 2026	no	Indian Land, SC\|Charlotte, NC\|Rock Hill, SC\|Indian Land, SC\|Charlotte, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 15, 2024	Jan 21, 2025	no	CHARLOTTE, NC	Previous registration
FOUNDATIONS INVESTMENT ADVISORS LLC	Independent wealth	Sep 19, 2023	Jan 25, 2024	no	Charlotte, NC\|PHOENIX, AZ	Previous registration
ALLOY INVESTMENT MANAGEMENT	State registered	Sep 12, 2023	Jan 23, 2024	no	GREENVILLE, SC	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Feb 17, 2021	Aug 23, 2023	no	ATLANTA, GA\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
BB&T SECURITIES, LLC	Former SEC adviser	Jun 17, 2020	Feb 17, 2021	no	CHARLOTTE, NC\|CHARLOTTE, NC\|RICHMOND, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 8, 2014	Jun 16, 2020	no	RIDGEFIELD, CT\|NEW CANAAN, CT\|MELVILLE, NY\|PURCHASE, NY\|BELMONT, NC\|CHARLOTTE, NC	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 2, 2013	Jan 2, 2014	no	SHELTON, CT	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
J.P. MORGAN SECURITIES LLC	ADVICE AND PLANNING SERVICES	Apr 19, 2026	Apr 22, 2026	3	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Jan 21, 2025	Jan 15, 2025	-6	Firm change	Wirehouse to wirehouse
FOUNDATIONS INVESTMENT ADVISORS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 25, 2024	May 15, 2024	111	Firm change	RIA to wirehouse
ALLOY INVESTMENT MANAGEMENT	FOUNDATIONS INVESTMENT ADVISORS LLC	Jan 23, 2024	Sep 19, 2023	-126	Firm change after gap	Other
TRUIST ADVISORY SERVICES, INC.	ALLOY INVESTMENT MANAGEMENT	Aug 23, 2023	Sep 12, 2023	20	Firm change	Ibd to state RIA
BB&T SECURITIES, LLC	TRUIST ADVISORY SERVICES, INC.	Feb 17, 2021	Feb 17, 2021	0	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	BB&T SECURITIES, LLC	Jun 16, 2020	Jun 17, 2020	1	Firm change	Wirehouse to ibd
MSI FINANCIAL SERVICES, INC.	WELLS FARGO ADVISORS	Jan 2, 2014	Jan 8, 2014	6	Firm change	Other

Relationships

Registered with (9)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Apr 22, 2026 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 15, 2025 to Apr 19, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 15, 2024 to Jan 21, 2025factForm ADV
→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Sep 19, 2023 to Jan 25, 2024factForm ADV
→ ALLOY INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Sep 12, 2023 to Jan 23, 2024factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 17, 2021 to Aug 23, 2023factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 17, 2020 to Feb 17, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 8, 2014 to Jun 16, 2020factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2013 to Jan 2, 2014factForm ADV

Dated events

Occurred
Apr 19, 2026
Advisor changed firm
Daniel James Bubbico left J.P. Morgan Securities Llc for Advice And Planning Services (registered 2026-04-22)
Form ADVobserved 6 days ago
Occurred
Jan 21, 2025
Advisor changed firm
Daniel James Bubbico left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2025-01-15)
Form ADVobserved 6 days ago
Occurred
Jan 25, 2024
Advisor changed firm
Daniel James Bubbico left Foundations Investment Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-05-15)
Form ADVobserved 6 days ago
Occurred
Jan 23, 2024
Advisor changed firm
Daniel James Bubbico left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2023-09-19)
Form ADVobserved 6 days ago
Occurred
Aug 23, 2023
Advisor changed firm
Daniel James Bubbico left Truist Advisory Services, Inc. for Alloy Investment Management (registered 2023-09-12)
Form ADVobserved 6 days ago