DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Traci Allysan Carrion

Advice And Planning ServicesBD affiliatedSalt Lake City, Ut dual registrantIAPD 2845981

Feed of 09/15/2026

Also filed as Traci Allysan Fishbein

At current firm

0 y

since Mar 30, 2026

In the industry

27 y

since Oct 15, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Advice And Planning Services BD affiliated current
since Mar 30, 2026 · Park City, Ut
U.S. Bancorp Advisors, LLC BD affiliated
Feb 13, 2026 to Mar 20, 2026 · Salt Lake City, Ut
U.S. Bancorp Investments, Inc. former
Jul 23, 2025 to Feb 13, 2026 · Park City, Ut
Advice And Planning Services BD affiliated
Nov 15, 2022 to Jul 15, 2025 · Memphis, Tn
Raymond James & Associates, Inc. national BD
Nov 12, 2019 to Oct 25, 2022 · Memphis, Tn
Allstate Financial Advisors, LLC BD affiliated
Dec 3, 2018 to Aug 9, 2019 · Memphis, Tn
Morgan Stanley wirehouse
May 2, 2014 to Jan 3, 2018 · Allentown, Pa
Morgan Stanley wirehouse
Jun 1, 2009 to Mar 4, 2013 · Rockville, Md
Citigroup Global Markets Inc. BD affiliated
Feb 21, 2006 to Jun 1, 2009 · Gaithersburg, Md
Legg Mason Wood Walker, Incorporated unclassified
Sep 28, 2000 to Feb 21, 2006 · Gaithersburg, Md

Moves

a registration end followed by a registration begin elsewhere

U.S. Bancorp Advisors, LLC to Advice And Planning Services
left Mar 20, 2026, registered Mar 30, 2026 (10 days) · Affiliated broker-dealer or bank to another
U.S. Bancorp Investments, Inc. to U.S. Bancorp Advisors, LLC
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
Advice And Planning Services to U.S. Bancorp Investments, Inc.
left Jul 15, 2025, registered Jul 23, 2025 (8 days) · Affiliated broker-dealer or bank to another
Raymond James & Associates, Inc. to Advice And Planning Services
left Oct 25, 2022, registered Nov 15, 2022 (21 days) · Affiliated broker-dealer or bank to another
Allstate Financial Advisors, LLC to Raymond James & Associates, Inc.
left Aug 9, 2019, registered Nov 12, 2019 (95 days) · Affiliated broker-dealer or bank to another
Morgan Stanley to Allstate Financial Advisors, LLC
left Jan 3, 2018, registered Dec 3, 2018 (334 days) · Wirehouse to affiliated broker-dealer or bank
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Legg Mason Wood Walker, Incorporated to Citigroup Global Markets Inc.
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

Signals

Traci Allysan Carrion left U.S. Bancorp Advisors, Llc for Advice And Planning Services (registered 2026-03-30)
Mar 20, 2026 · Advisor changed firm · fact
Traci Allysan Carrion left Advice And Planning Services for U.S. Bancorp Investments, Inc. (registered 2025-07-23)
Jul 15, 2025 · Advisor changed firm · fact
Traci Allysan Carrion left Raymond James & Associates, Inc. for Advice And Planning Services (registered 2022-11-15)
Oct 25, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address