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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Estevan David Escarsega

Advisor at ADVICE AND PLANNING SERVICES

Frisco, TX | Mansfield, TX

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Search this name across graphsid dfx:ria:aabaa093-2f58-efc6-ee21-7e1199265777

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Oct 15, 2019 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: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Nov 19, 2018
First registration: Oct 15, 2019
Dual registered: yes, broker-dealer
Other names: Estevan David Escarsega|ESTEVAN D ESCARSEGA|Estevan Escarsega
IAPD individual key: 7011492

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 4, 2026	n/a	yes	Frisco, TX\|Mansfield, TX	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 20, 2023	Aug 20, 2026	no	DALLAS, TX\|FRISCO, TX\|DALLAS, TX\|DALLAS, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 14, 2022	May 1, 2023	no	Irving, TX\|Irving, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Dec 21, 2020	Feb 16, 2022	no	Plano, TX\|San Antonio, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 15, 2019	Dec 1, 2020	no	Southlake, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 15, 2019	Dec 1, 2020	no	Westlake, TX	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 20, 2026	Sep 4, 2026	15	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 1, 2023	Jun 20, 2023	50	Firm change	Ibd to wirehouse
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Feb 16, 2022	Apr 14, 2022	57	Firm change	Wirehouse to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	J.P. MORGAN SECURITIES LLC	Dec 1, 2020	Dec 21, 2020	20	Firm change	RIA to wirehouse
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Dec 1, 2020	Oct 15, 2019	-413	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7059:7691:TX:2023-05-01	May 1, 2023	Jun 20, 2023	IRVING, TX	Firm change

Relationships

Registered with (6)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 20, 2023 to Aug 20, 2026factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 14, 2022 to May 1, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Dec 21, 2020 to Feb 16, 2022factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 15, 2019 to Dec 1, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 15, 2019 to Dec 1, 2020factForm ADV

Dated events

Occurred
Aug 20, 2026
Advisor changed firm
Estevan David Escarsega left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Advice And Planning Services (registered 2026-09-04)
Form ADVobserved 6 days ago
Occurred
May 1, 2023
Advisor changed firm
Estevan David Escarsega left Citigroup Global Markets Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-06-20)
Form ADVobserved 6 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Estevan David Escarsega left J.P. Morgan Securities Llc for Citigroup Global Markets Inc. (registered 2022-04-14)
Form ADVobserved 6 days ago