DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

LEWIS ALAN WEXLER

Advisor at ADVICE AND PLANNING SERVICES

AMHERST, NY | Getzville, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d5f2c266-c5f7-6c7e-61d3-b2b7ed36541e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2006 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: Oct 18, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 18, 2006
First registration: Oct 19, 2006
Dual registered: yes, broker-dealer
Other names: LEWIS WEXLER
IAPD individual key: 5207714

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	May 25, 2021	n/a	yes	AMHERST, NY\|Getzville, NY	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2012	Mar 9, 2015	no	BUFFALO, NY\|BUFFALO, NY\|NORTH TONAWANDA, NY\|BUFFALO, NY\|LOCKPORT, NY\|BUFFALO, NY\|BUFFALO, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Feb 11, 2011	May 15, 2012	no	BUFFALO, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Dec 14, 2010	no	HAMBURG, NY\|BUFFALO, NY\|ORCHARD PARK, NY\|BUFFALO, NY\|WILLIAMSVILLE, NY\|LATHAM, NY	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 19, 2006	Oct 23, 2009	no	BUFFALO, NY\|HAMBURG, NY\|BUFFALO, NY\|BUFFALO, NY\|BUFFALO, NY\|ELMA, NY\|W. SENECA, NY\|HAMBURG, NY\|HAMBURG, NY\|ORCHARD PARK, NY\|E. AURORA, NY	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
LPL FINANCIAL LLC	ADVICE AND PLANNING SERVICES	Mar 9, 2015	May 25, 2021	2,269	Firm change after gap	Other
HSBC SECURITIES (USA) INC.	LPL FINANCIAL LLC	May 15, 2012	May 18, 2012	3	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HSBC SECURITIES (USA) INC.	Dec 14, 2010	Feb 11, 2011	59	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
May 25, 2021 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2012 to Mar 9, 2015factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Feb 11, 2011 to May 15, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Dec 14, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 19, 2006 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.