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

RICHARD MURRAY HELD

Advisor at ADVICE AND PLANNING SERVICES

CAMBRIDGE, MA | Duxbury, MA

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Search this name across graphsid dfx:ria:57a5121f-86cc-4fb2-8253-1dc442be931b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2004 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: Sep 25, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 25, 2002
First registration: Apr 15, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4571889

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	Sep 2, 2015	n/a	yes	CAMBRIDGE, MA\|Duxbury, MA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 1, 2014	Aug 18, 2015	no	MANSFIELD, MA\|MANSFIELD, MA\|BOSTON, MA\|FRANKLIN, MA\|MANSFIELD, MA\|MANSFIELD, MA\|FRANKLIN, MA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jan 20, 2010	Apr 10, 2014	no	BOSTON, MA\|BOSTON, MA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Apr 28, 2009	no	CAMBRIDGE, MA\|BURLINGTON, MA\|CAMBRIDGE, MA	Previous registration
QUICK & REILLY, INC.	n/a	Apr 15, 2004	Oct 20, 2004	no	CAMBRIDGE, MA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Aug 18, 2015	Sep 2, 2015	15	Firm change	Other
CITIZENS SECURITIES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 10, 2014	May 1, 2014	21	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	CITIZENS SECURITIES, INC.	Apr 28, 2009	Jan 20, 2010	267	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Sep 2, 2015 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 1, 2014 to Aug 18, 2015factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 20, 2010 to Apr 10, 2014factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Apr 28, 2009factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Apr 15, 2004 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.