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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Jaclyn Kate Johnson

Advisor at ADVICE AND PLANNING SERVICES

Frisco, TX | Gainesville, TX

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Search this name across graphsid dfx:ria:c23af82e-b8c3-83fa-9418-8d9d7f37e130

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 19, 2017 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: Mar 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 19, 2017
First registration: Jun 19, 2017
Dual registered: yes, broker-dealer
Other names: KATIE POTEET|KATIE HARRINGTON|Katie Johnson|JACLYN KATE HARRINGTON|JACLYN KATE JOHNSON|Jaclyn Kate Poteet|Jaclyn K Johnson
IAPD individual key: 4725309

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	Apr 27, 2026	n/a	yes	Gainesville, TX\|Frisco, TX	Current employment
UNITED ADVISORS AMERICA	Independent wealth	Sep 12, 2019	Dec 6, 2024	no	PROSPER, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Sep 11, 2019	no	DENTON, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Sep 11, 2019	no	OMAHA, NE\|DENTON, TX	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jun 19, 2017	Feb 26, 2018	no	SAINT 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
UNITED ADVISORS AMERICA	ADVICE AND PLANNING SERVICES	Dec 6, 2024	Apr 27, 2026	507	Firm change after gap	RIA to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 11, 2019	Feb 27, 2018	-561	Bulk transfer	Other
TD AMERITRADE, INC.	UNITED ADVISORS AMERICA	Sep 11, 2019	Sep 12, 2019	1	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Relationships

Registered with (5)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Apr 27, 2026 to presentfactForm ADV
→ UNITED ADVISORS AMERICARegistered adviserregistration: previous registration
Sep 12, 2019 to Dec 6, 2024factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Sep 11, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Sep 11, 2019factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jun 19, 2017 to Feb 26, 2018factForm ADV

Dated events

Occurred
Dec 6, 2024
Advisor changed firm
Jaclyn Kate Johnson left United Advisors America for Advice And Planning Services (registered 2026-04-27)
Form ADVobserved 6 days ago