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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

ERIC LEE ROBERTS

Advisor at ADVICE AND PLANNING SERVICES

Maumee, OH | ANN ARBOR, MI

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Search this name across graphsid dfx:ria:33e4af81-c609-7ddc-cd7c-a5a75517f7a2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 26, 2010 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: Apr 19, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 19, 2010
First registration: Apr 26, 2010
Dual registered: yes, broker-dealer
Other names: ERIC ROBERTS|ERIC LEE ROBERTS
IAPD individual key: 5753221

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	Jun 22, 2015	n/a	yes	ANN ARBOR, MI\|Maumee, OH	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 9, 2014	Jun 9, 2015	no	MAUMEE, OH	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Feb 12, 2013	May 19, 2014	no	TOLEDO, OH	Previous registration
EDWARD JONES	National bd RIA	Apr 26, 2010	Sep 27, 2012	no	MAUMEE, OH\|MAUMEE, OH\|TOLEDO, OH\|ST LOUIS, MO	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
AMERIPRISE FINANCIAL SERVICES, LLC	ADVICE AND PLANNING SERVICES	Jun 9, 2015	Jun 22, 2015	13	Firm change	Other
MSI FINANCIAL SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	May 19, 2014	May 9, 2014	-10	Firm change	Other
EDWARD JONES	MSI FINANCIAL SERVICES, INC.	Sep 27, 2012	Feb 12, 2013	138	Firm change	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Jun 22, 2015 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 9, 2014 to Jun 9, 2015factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 12, 2013 to May 19, 2014factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 26, 2010 to Sep 27, 2012factForm ADV

Dated events

No dated event names this entity yet.