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Detailed Report
FARID ANTONIO KRIZMAN
FARID A. KRIZMAN
CRD#: 4188795
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - 2007 (<1 year)IAADVICE AND PLANNING SERVICES (CRD# 20472)2008 - Present (17 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2007 - Present (17 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2003 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2001 (<1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2003 (1 year)
License(s)

State Registrations

B
Arizona 5/27/2011
B
New Mexico 1/9/2009
B
California 5/31/2007
B
North Carolina 6/5/2023
IA
California 3/6/2008
B
Oklahoma 6/2/2022
B
Colorado 2/6/2023
B
Oregon 3/21/2019
B
District of Columbia 3/25/2021
B
Rhode Island 8/4/2022
B
Florida 9/13/2024
B
South Carolina 10/25/2022
B
Georgia 4/18/2024
B
Texas 10/3/2023
B
Hawaii 6/2/2017
B
Vermont 7/13/2021
B
Massachusetts 2/15/2019
B
Virginia 6/20/2023
B
Minnesota 8/20/2018
B
Washington 5/8/2019
B
Nevada 5/19/2020
B
Wisconsin 9/19/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Santa Clarita, CA
Registered with this firm since 3/6/2008
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Santa Clarita, CA
Registered with this firm since 5/31/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/17/2006 - 05/17/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 07/17/2006 - 05/17/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
IA
 11/26/2003 - 07/17/2006 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) LOS ANGELES, CA
B
 11/26/2003 - 07/17/2006 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) LOS ANGELES, CA
IA
 02/05/2002 - 11/07/2003 MORGAN STANLEY (CRD#:7556) BEVERLY HILLS, CA
B
 03/05/2001 - 11/07/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 05/26/2000 - 02/20/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.