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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

RONALD JOSEPH KELLY

Advisor at ADVICE AND PLANNING SERVICES

Cicero, NY | SYRACUSE, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2007 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 10, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Mar 10, 1994
First registration: Nov 21, 2007
Dual registered: yes, broker-dealer
Other names: RON KELLY
IAPD individual key: 2465105

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	May 25, 2021	n/a	yes	SYRACUSE, NY\|Cicero, NY	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 15, 2012	Nov 5, 2012	no	LOCKPORT, NY\|LIVERPOOL, NY\|LIVERPOOL, NY\|NORTH SYRACUSE, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jan 22, 2009	May 15, 2012	no	FULTON, NY\|OSWEGO, NY\|LIVERPOOL, NY\|LIVERPOOL, NY\|SYRACUSE, NY\|LIVERPOOL, NY\|SYRACUSE, NY\|SYRACUSE, NY\|CICERO, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jan 24, 2008	Jan 12, 2009	no	SYRACUSE, NY\|DEWITT, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Nov 21, 2007	Jan 14, 2008	no	LIVERPOOL, NY\|TULLY, NY\|SYRACUSE, NY\|CICERO, NY\|LIVERPOOL, NY	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
LPL FINANCIAL LLC	ADVICE AND PLANNING SERVICES	Nov 5, 2012	May 25, 2021	3,123	Firm change after gap	Other
HSBC SECURITIES (USA) INC.	LPL FINANCIAL LLC	May 15, 2012	May 15, 2012	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	HSBC SECURITIES (USA) INC.	Jan 12, 2009	Jan 22, 2009	10	Firm change	Other
HSBC SECURITIES (USA) INC.	CHASE INVESTMENT SERVICES CORP.	Jan 14, 2008	Jan 24, 2008	10	Firm change	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
May 25, 2021 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 15, 2012 to Nov 5, 2012factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jan 22, 2009 to May 15, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jan 24, 2008 to Jan 12, 2009factForm ADV

Dated events

No dated event names this entity yet.