DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner26 years in industry

Steven Lee Ouellette

Advisor at ADVICE AND PLANNING SERVICES

Harrisburg, NC | CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d669971-3c0a-af78-cd3b-cfbd963e5abf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 23, 2000 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: Aug 11, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 11, 2000
First registration: Aug 23, 2000
Dual registered: no
Other names: STEVEN L OVELLETTE
IAPD individual key: 3097753

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	Jul 9, 2025	n/a	yes	Harrisburg, NC\|CHARLOTTE, NC	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 18, 2008	Apr 16, 2010	no	Providence, RI	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jan 5, 2007	Oct 23, 2008	no	CHAPEL HILL, NC\|Durham, NC	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 29, 2003	Nov 30, 2006	no	PROVIDENCE, RI\|Providence, RI	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 23, 2000	Apr 29, 2002	no	PROVIDENCE, RI	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
CHARLES SCHWAB & CO., INC.	ADVICE AND PLANNING SERVICES	Apr 16, 2010	Jul 9, 2025	5,563	Firm change after gap	Ibd to ibd
ADVICE AND PLANNING SERVICES	CHARLES SCHWAB & CO., INC.	Oct 23, 2008	Nov 18, 2008	26	Firm change	Other
CHARLES SCHWAB & CO., INC.	ADVICE AND PLANNING SERVICES	Nov 30, 2006	Jan 5, 2007	36	Firm change	Other
UBS FINANCIAL SERVICES INC.	CHARLES SCHWAB & CO., INC.	Apr 29, 2002	Apr 29, 2003	365	Firm change	Wirehouse to ibd

Relationships

Registered with (3)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jan 5, 2007 to Oct 23, 2008factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 18, 2008 to Apr 16, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 23, 2000 to Apr 29, 2002factForm ADV

Dated events

No dated event names this entity yet.