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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

ROBERT VINCIENT NICOLOSI

Advisor at ADVICE AND PLANNING SERVICES

PALO ALTO, CA | San Jose, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 5, 2000 to Sep 14, 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: Sep 5, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63|S65
First exam: Feb 20, 2009
First registration: Sep 5, 2000
Dual registered: yes, broker-dealer
Other names: ROBERT NICOLOSI|ROBERT V NICOLOSI
IAPD individual key: 4163214

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	Nov 8, 2016	n/a	yes	PALO ALTO, CA\|San Jose, CA	Current employment
EDELMAN FINANCIAL ENGINES	Independent wealth	Jan 12, 2010	Jun 15, 2011	no	PALO ALTO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 10, 2009	no	San Francisco, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jan 23, 2009	Jun 1, 2009	no	SAN FRANCISCO, CA	Previous registration
FISHER INVESTMENTS	Independent wealth	Sep 18, 2006	Sep 30, 2008	no	PLANO, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 5, 2000	Jun 19, 2006	no	PALO ALTO, CA\|PALO ALTO, 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
EDELMAN FINANCIAL ENGINES	ADVICE AND PLANNING SERVICES	Jun 15, 2011	Nov 8, 2016	1,973	Firm change after gap	Other
MORGAN STANLEY	EDELMAN FINANCIAL ENGINES	Dec 10, 2009	Jan 12, 2010	33	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
FISHER INVESTMENTS	MORGAN STANLEY & CO. LLC	Sep 30, 2008	Jan 23, 2009	115	Firm change	Other
MORGAN STANLEY DW INC.	FISHER INVESTMENTS	Jun 19, 2006	Sep 18, 2006	91	Firm change	Other

Relationships

Registered with (6)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Nov 8, 2016 to presentfactForm ADV
→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: previous registration
Jan 12, 2010 to Jun 15, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 10, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jan 23, 2009 to Jun 1, 2009factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Sep 18, 2006 to Sep 30, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 5, 2000 to Jun 19, 2006factForm ADV

Dated events

No dated event names this entity yet.