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

DAVID JASON BERNSTEIN

Advisor at ADVICE AND PLANNING SERVICES

Philadelphia, PA | Abington, PA

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Search this name across graphsid dfx:ria:42745ef8-e74a-ac74-8dae-fa14fac3f250

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 15, 2003 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 14, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 14, 2003
First registration: Jan 15, 2003
Dual registered: yes, broker-dealer
Other names: DAVID JASON BERNSTEIN
IAPD individual key: 4608704

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	Oct 8, 2007	n/a	yes	Philadelphia, PA\|Abington, PA	Current employment
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Aug 22, 2006	Sep 19, 2007	no	HUNTINGDON VALLEY, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 19, 2003	Aug 18, 2006	no	PENNINGTON, NJ\|PENNINGTON, NJ\|PENNINGTON, NJ	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 15, 2003	Jul 18, 2003	no	VOORHEES, NJ	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
CITIZENS SECURITIES, INC.	ADVICE AND PLANNING SERVICES	Sep 19, 2007	Oct 8, 2007	19	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIZENS SECURITIES, INC.	Aug 18, 2006	Aug 22, 2006	4	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 18, 2003	Aug 19, 2003	32	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Oct 8, 2007 to presentfactForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Aug 22, 2006 to Sep 19, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 19, 2003 to Aug 18, 2006factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 15, 2003 to Jul 18, 2003factForm ADV

Dated events

No dated event names this entity yet.