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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

BRIAN MATTHEW MCDONALD

Advisor at ADVICE AND PLANNING SERVICES

Katonah, NY | NEW YORK, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 13, 2010 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: Oct 11, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 11, 2010
First registration: Oct 13, 2010
Dual registered: yes, broker-dealer
Other names: BRIAN MATTHEW MCDONALD|BRIAN M MCDONALD
IAPD individual key: 5681217

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	NEW YORK, NY\|Katonah, NY	Current employment
TD AMERITRADE, INC.	Former SEC adviser	May 23, 2013	Jun 2, 2015	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 20, 2013	Jun 2, 2015	no	NEW YORK CITY, NY\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 13, 2010	May 3, 2013	no	PENNINGTON, NJ	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 2, 2015	May 23, 2013	-740	Channel change	Other
TD AMERITRADE, INC.	ADVICE AND PLANNING SERVICES	Jun 2, 2015	May 25, 2021	2,184	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 3, 2013	May 20, 2013	17	Firm change	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
May 25, 2021 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 20, 2013 to Jun 2, 2015factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 23, 2013 to Jun 2, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 13, 2010 to May 3, 2013factForm ADV

Dated events

No dated event names this entity yet.