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

Mohammad Sheroz Arien

Advice And Planning ServicesBD affiliatedFrisco, Txdual registrantIAPD 7119441

Feed of 09/14/2026

Also filed as Moe Arien

At current firm

0 y

since May 8, 2026

In the industry

13 y

since Aug 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 May 8, 2026 · Frisco, Tx
Pnc Wealth Management BD affiliated
Mar 22, 2024 to Apr 2, 2026 · Irving, Tx
Citizens Securities, Inc. BD affiliated
Aug 28, 2023 to Mar 8, 2024 · Irving, Tx
Citigroup Global Markets Inc. BD affiliated
Jun 1, 2022 to May 1, 2023 · Irving, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 10, 2020 to May 20, 2022 · Coppell, Tx

Moves

a registration end followed by a registration begin elsewhere

Pnc Wealth Management to Advice And Planning Services
left Apr 2, 2026, registered May 8, 2026 (36 days) · Affiliated broker-dealer or bank to another
Citizens Securities, Inc. to Pnc Wealth Management
left Mar 8, 2024, registered Mar 22, 2024 (14 days) · Affiliated broker-dealer or bank to another
Citigroup Global Markets Inc. to Citizens Securities, Inc.
left May 1, 2023, registered Aug 28, 2023 (119 days) · Affiliated broker-dealer or bank to another · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citigroup Global Markets Inc.
left May 20, 2022, registered Jun 1, 2022 (12 days) · Wirehouse to affiliated broker-dealer or bank

Signals

Mohammad Sheroz Arien left Pnc Wealth Management for Advice And Planning Services (registered 2026-05-08)
Apr 2, 2026 · Advisor changed firm · fact
Mohammad Sheroz Arien left Citizens Securities, Inc. for Pnc Wealth Management (registered 2024-03-22)
Mar 8, 2024 · Advisor changed firm · fact
Mohammad Sheroz Arien left Citigroup Global Markets Inc. for Citizens Securities, Inc. (registered 2023-08-28)
May 1, 2023 · Advisor changed firm · fact
Mohammad Sheroz Arien left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citigroup Global Markets Inc. (registered 2022-06-01)
May 20, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address