AL
Alan R. Labrie
TD PRIVATE CLIENT WEALTH LLC
Concord, NH 03301
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CRD#: 6767711
AL
Professional summary
Alan R Labrie, who also goes by Alan Russell Labrie, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Concord, New Hampshire.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Alan has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Russell Labrie
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Self (Alan Labrie); not investment related; Address: 4 Deer Ln, Belmont, NH 03220; Position: Pianist/Organist/Keyboardist; Self-Employed; Start Date: 6/1/1990; Time Spent on Business: - approximately 8 hours / month; Number of Hours Devoted During Securities Trading Hours: 0; Duties: Play organ, piano and/or keyboards for weddings, funerals, special occasions, events, and religious services. 2. St. Andre Bessette Parish; not investment related; Address: 277 Union Avenue, Laconia, NH 03246; Type of Business: Roman Catholic Church; Title: Director of Sacred Music; Start Date: July 10, 2023; Hours Per Month: 80 hours / month; 0 hours during securities trading hours; Duties: select music for masses / religious services; coordinate musicians to sing and/or play at masses and religious services; play organ and/or keyboard at masses and religious services.
CRS (Client Relationship Summary) - RIA
Click below to view Alan R Labrie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan R Labrie's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 6, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 143 North Main Street, Concord, NH 03301RIA
BD
CRD#: 164484
Concord, NH
Current
October 6, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
Greenville, SC
Past
January 25, 2021 - May 22, 2023
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
Bedford, NH
Past
January 22, 2021 - May 22, 2023
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
Concord, NH
Past
December 14, 2017 - June 4, 2019
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
NORTH CONWAY, NH
Past
April 11, 2017 - June 4, 2019
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NORTH CONWAY, NH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/13/2023)
IAR
Florida(10/16/2023)
RR
Massachusetts(7/18/2024)
IAR
Massachusetts(7/24/2024)
RR
New Hampshire(10/6/2023)
IAR
New Hampshire(10/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
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 | ||
| 12/21/2022 |
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.
