DZ
David J. Zierath
TD PRIVATE CLIENT WEALTH LLC
West Palm Beach, FL 33409
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CRD#: 3084491
DZ
Professional summary
David John Zierath, CFP®, ChFC®, who also goes by David Zierath, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in West Palm Beach, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Zierath
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David John Zierath's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David John Zierath'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®
Experience
Current
May 21, 2018 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 2130 Centrepark West Drive, West Palm Beach, FL 33409RIA
BD
CRD#: 164484
West Palm Beach, FL
Current
May 14, 2018 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 2130 Centrepark West Drive, West Palm Beach, FL 33409RIA
BD
CRD#: 164484
West Palm Beach, FL
Past
November 20, 2014 - May 7, 2018
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
November 25, 2009 - May 7, 2018
SEI INVESTMENTS MANAGEMENT CORP
RIA
CRD#: 105146
OAKS, PA
Past
January 2, 2007 - August 27, 2008
VANQUISH ADVISORS LLC
RIA
CRD#: 139312
DELRAY BEACH, FL
Past
September 15, 2003 - November 8, 2005
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
PALM BEACH, FL
Past
May 3, 1999 - November 8, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 20, 1998 - January 20, 1999
JPMSI
BD
CRD#: 15733
NEW YORK, NY
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
Arizona(1/24/2019)
IAR
Arizona(1/29/2019)
RR
California(6/19/2020)
IAR
California(6/19/2020)
RR
Florida(5/14/2018)
IAR
Florida(5/21/2018)
RR
Georgia(9/25/2020)
IAR
Georgia(10/9/2020)
RR
Illinois(2/11/2021)
IAR
Illinois(2/11/2021)
RR
Kentucky(4/8/2024)
IAR
Kentucky(4/8/2024)
RR
Maine(7/26/2018)
IAR
Maine(7/26/2018)
RR
Maryland(4/12/2019)
IAR
Maryland(4/12/2019)
RR
Massachusetts(9/18/2023)
IAR
Massachusetts(9/25/2023)
RR
Montana(1/17/2024)
IAR
Montana(1/18/2024)
RR
Nevada(12/6/2022)
IAR
Nevada(12/13/2022)
RR
New Hampshire(12/1/2022)
IAR
New Hampshire(12/1/2022)
RR
New Jersey(7/26/2018)
IAR
New Jersey(8/1/2018)
RR
New York(6/27/2018)
IAR
New York(8/19/2021)
RR
North Carolina(6/18/2020)
IAR
North Carolina(6/18/2020)
RR
Oregon(1/13/2023)
IAR
Oregon(1/13/2023)
RR
Pennsylvania(10/18/2018)
IAR
Pennsylvania(10/18/2018)
RR
Texas(1/17/2024)
IAR
Texas(1/17/2024)
RR
Virginia(4/4/2019)
IAR
Virginia(4/4/2019)
RR
Washington(1/3/2023)
IAR
Washington(1/3/2023)
RR
Wyoming(4/4/2019)
IAR
Wyoming(4/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
