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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Joseph Lynch

Advisor at ADVICE AND PLANNING SERVICES

Charlotte, NC | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:27497ec0-b8b9-690a-a403-e3f935d72d8f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 11, 2006 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: Jan 31, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 31, 2003
First registration: Dec 11, 2006
Dual registered: yes, broker-dealer
Other names: Joseph Lynch|JOSEPH LYNCH|Joseph Lynch|JOSEPH LYNCH|Joseph Lynch
IAPD individual key: 4612624

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 9, 2022	n/a	yes	CHARLOTTE, NC\|Charlotte, NC	Current employment
PERSONAL CAPITAL ADVISORS CORPORATION	Former SEC adviser	Feb 24, 2021	Oct 31, 2022	no	GREENWOOD VILLAGE, CO\|Huntersville, NC	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 13, 2020	Dec 31, 2020	no	Charlotte, NC	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jan 13, 2020	Jan 11, 2021	no	Charlotte, NC	Previous registration
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Sep 11, 2014	Nov 22, 2019	no	CHARLOTTE, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 7, 2012	Aug 19, 2014	no	COLUMBIA, SC\|COLUMBIA, SC\|CHARLOTTE, NC\|COLUMBIA, SC\|COLUMBIA, SC\|CHARLOTTE, NC\|COLUMBIA, SC	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Dec 11, 2006	Jul 6, 2012	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC	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
PERSONAL CAPITAL ADVISORS CORPORATION	ADVICE AND PLANNING SERVICES	Oct 31, 2022	Nov 9, 2022	9	Firm change	RIA to ibd
TD AMERITRADE, INC.	PERSONAL CAPITAL ADVISORS CORPORATION	Jan 11, 2021	Feb 24, 2021	44	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	Jan 13, 2020	-353	Bulk transfer	Other
VANGUARD ADVISERS, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 22, 2019	Jan 13, 2020	52	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	VANGUARD ADVISERS, INC.	Aug 19, 2014	Sep 11, 2014	23	Firm change	Other
ADVICE AND PLANNING SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 6, 2012	Aug 7, 2012	32	Firm change	Other

Relationships

Registered with (6)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Dec 11, 2006 to Jul 6, 2012factForm ADV
→ PERSONAL CAPITAL ADVISORS CORPORATIONRegistered adviserregistration: previous registration
Feb 24, 2021 to Oct 31, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jan 13, 2020 to Jan 11, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 13, 2020 to Dec 31, 2020factForm ADV
→ VANGUARD ADVISERS, INC.Registered adviserregistration: previous registration
Sep 11, 2014 to Nov 22, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 7, 2012 to Aug 19, 2014factForm ADV

Dated events

Occurred
Oct 31, 2022
Advisor changed firm
Joseph Lynch left Personal Capital Advisors Corporation for Advice And Planning Services (registered 2022-11-09)
Form ADVobserved 6 days ago