Alan B. Krichman
Professional summary
Alan Barry Krichman is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Red Bank, New Jersey.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Alan has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alan Barry Krichman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Barry Krichman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 2026 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 89 West Front Street, Red Bank, NJ 07701April 21, 2026 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Nassau Street 1st Floor, Princeton, NJ 08540June 9, 2021 - April 23, 2026
LPL FINANCIAL LLC
June 9, 2021 - April 23, 2026
LPL FINANCIAL LLC
May 18, 2017 - June 9, 2021
M&T SECURITIES, INC.
May 9, 2017 - June 9, 2021
M&T SECURITIES, INC.
December 6, 2013 - January 9, 2017
SANTANDER SECURITIES LLC
December 6, 2013 - January 9, 2017
SANTANDER SECURITIES LLC
September 11, 2012 - December 2, 2013
INVEST FINANCIAL CORPORATION
September 6, 2012 - December 2, 2013
INVEST FINANCIAL CORPORATION
September 21, 2011 - September 6, 2012
CETERA WEALTH SERVICES, LLC
August 10, 2011 - September 6, 2012
CETERA WEALTH SERVICES, LLC
May 2, 2009 - April 14, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - April 14, 2011
CHASE INVESTMENT SERVICES CORP.
April 23, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
April 23, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
June 2, 2006 - April 15, 2008
CETERA INVESTMENT SERVICES LLC
May 3, 2006 - April 15, 2008
BANCNORTH INVESTMENT GROUP, INC.
October 5, 2005 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
May 2, 2005 - October 4, 2005
CHASE INVESTMENT SERVICES CORP.
July 12, 2004 - October 4, 2005
CHASE INVESTMENT SERVICES CORP.
October 31, 2003 - June 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2000 - June 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 18, 1998 - November 6, 2000
ESSEX NATIONAL SECURITIES, LLC
September 9, 1997 - January 22, 1998
GKN SECURITIES CORP.
July 22, 1997 - August 30, 1997
MORGAN GRANT CAPITAL CORP.
January 21, 1995 - September 25, 1997
INVESTORS ASSOCIATES, INC.
February 28, 1991 - April 13, 1995
GUARDIAN INVESTOR SERVICES LLC
January 21, 1987 - February 6, 1993
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/8/2026)
(5/8/2026)
(5/8/2026)
(4/21/2026)
(4/21/2026)
(5/8/2026)
(5/8/2026)
(5/8/2026)
(5/12/2026)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
