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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

Scott Marshall Steele

Advisor at ADVICE AND PLANNING SERVICES

Bellingham, WA | BELLEVUE, WA

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Search this name across graphsid dfx:ria:a45e3409-9b11-db2f-e463-7b9a3d05fe34

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jan 1, 2001 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: Sep 11, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 11, 1989
First registration: Jan 1, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1968665

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 10, 2025	n/a	yes	BELLEVUE, WA\|Bellingham, WA	Current employment
HENNION & WALSH ASSET MANAGEMENT, INC.	Bd affiliated wealth	Jan 29, 2025	Oct 21, 2025	no	Sedro-Wooley, WA\|PARSIPPANY, NJ	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Dec 22, 2021	Apr 23, 2024	no	BELLINGHAM, WA	Previous registration
CALAMOS ADVISORS LLC	Asset manager	Dec 17, 2012	Mar 10, 2020	no	NAPERVILLE, IL\|SAN DIEGO, CA	Previous registration
CALAMOS WEALTH MANAGEMENT LLC	Independent wealth	Apr 20, 2009	Dec 12, 2012	no	NAPERVILLE, IL	Previous registration
CALAMOS ADVISORS LLC	Asset manager	Jun 29, 2006	Nov 20, 2007	no	NAPERVILLE, IL	Previous registration
TCW INVESTMENT MANAGEMENT COMPANY LLC	Asset manager	Jan 1, 2001	Jun 27, 2006	no	LOS ANGELES, CA	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
HENNION & WALSH ASSET MANAGEMENT, INC.	ADVICE AND PLANNING SERVICES	Oct 21, 2025	Nov 10, 2025	20	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	HENNION & WALSH ASSET MANAGEMENT, INC.	Apr 23, 2024	Jan 29, 2025	281	Firm change	Ibd to ibd
CALAMOS ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Mar 10, 2020	Dec 22, 2021	652	Firm change after gap	Other
CALAMOS WEALTH MANAGEMENT LLC	CALAMOS ADVISORS LLC	Dec 12, 2012	Dec 17, 2012	5	Firm change	Other
CALAMOS ADVISORS LLC	CALAMOS WEALTH MANAGEMENT LLC	Nov 20, 2007	Apr 20, 2009	517	Firm change after gap	Other
TCW INVESTMENT MANAGEMENT COMPANY LLC	CALAMOS ADVISORS LLC	Jun 27, 2006	Jun 29, 2006	2	Firm change	Other

Relationships

Registered with (6)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Nov 10, 2025 to presentfactForm ADV
→ HENNION & WALSH ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 29, 2025 to Oct 21, 2025factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Dec 22, 2021 to Apr 23, 2024factForm ADV
→ CALAMOS ADVISORS LLCRegistered adviserregistration: previous registration
Dec 17, 2012 to Mar 10, 2020factForm ADV
→ CALAMOS WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Apr 20, 2009 to Dec 12, 2012factForm ADV
→ TCW INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserregistration: previous registration
Jan 1, 2001 to Jun 27, 2006factForm ADV

Dated events

Occurred
Oct 21, 2025
Advisor changed firm
Scott Marshall Steele left Hennion & Walsh Asset Management, Inc. for Advice And Planning Services (registered 2025-11-10)
Form ADVobserved 5 days ago
Occurred
Apr 23, 2024
Advisor changed firm
Scott Marshall Steele left Cetera Investment Advisers Llc for Hennion & Walsh Asset Management, Inc. (registered 2025-01-29)
Form ADVobserved 5 days ago