DY
David T. Yu
INDEPENDENT FINANCIAL PARTNERS
Fort Lauderdale, FL 33309
Some features on this profile are disabled
CRD#: 5484970
DY
Professional summary
David Ta-wai Yu is a registered financial advisor currently at INDEPENDENT FINANCIAL PARTNERS located in Fort Lauderdale, Florida and IFP SECURITIES, LLC located in Fort Lauderdale, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. David has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) DTY Wealth Planning Solutions- DBA; Investment Related; 3343 West Commercial Blvd, #107, Ft. Lauderdale, FL 33309; President and Wealth Advisor, offering financial advice in a fiduciary capacity; Securities, insurance and annuities; Start 1/1/2012; 50 hours a week. 2) DTY TAX SERVICES, INC. - 3343 W. COMMERCIAL BLVD #107 FT. LAUDERDALE, FL 33309; TAX PREPARATION; NON INVESTMENT RELATED; OWNER; OVERSEE TAX PREPARER; 5% OF TIME SPENT 3) FIXED INSURANCE SALES - 3343 W. COMMERCIAL BLVD #107, FORT LAUDERDALE, FL 33309; FIXED INSURANCE SALES; NON INVESTMENT RELATED; INSURANCE AGENT; SELL INSURANCE; 5% OF TIME SPENT 4) AMERICAN AIRLINES PILOT - Terminal D Flight Operations American Airlines ; AVIATION; NON INVESTMENT RELATED; PILOT; FLYING; 5% OF TIME SPENT 5) TACTICAL ASSESTS LLC - 3343 W COMMERCIAL BLVD #107 FT. LAUDERDALE, FL 33309; REAL ESTATE; NON INVESTMENT RELATED; OWNER; COLLECT RENT; 1% OF TIME SPENT 6) OFF CENTER INVESTMENTS LLC - 3343 W COMMERCIAL BLVD #107 FT. LAUDERDALE, FL 33309; REAL ESTATE; NON INVESTMENT RELATED; OWNER; COLLECT RENT; 1% OF TIME SPENT 7) PENN MUTUAL LIFE INSURANCE COMPANY - 600 DRESHER ROAD HORSHAM, PA 19044; FIXED INSURANCE; AGENT; 3-5 HOURS SPENT PER WEEK 8) PURSUIT LEASING INC. - 3343 W. COMMERCIAL BLVD. STE 107; FORT LAUDERDALE, FL 33309; HOLDING COMPANY FOR BOAT; NON-INVESTMENT RELATED; PRESIDENT; <1% OF TIME SPENT
CRS (Client Relationship Summary) - RIA
Click below to view David Ta-wai Yu'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 25, 2019 - Present
INDEPENDENT FINANCIAL PARTNERS
Office #1: 3343 W. Commercial Blvd Ste 107, Fort Lauderdale, FL 33309RIA
CRD#: 125112
Fort Lauderdale, FL
Current
October 25, 2019 - Present
IFP SECURITIES, LLC
Office #1: 3343 W Commercial Blvd #107, Fort Lauderdale, FL 33309BD
CRD#: 297287
Fort Lauderdale, FL
Past
February 18, 2014 - October 25, 2019
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
FORT LAUDERDALE, FL
Past
February 18, 2014 - October 25, 2019
KOVACK SECURITIES INC.
BD
CRD#: 44848
Fort Lauderdale, FL
Past
January 25, 2013 - March 7, 2014
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ORLANDO, FL
Past
January 18, 2013 - March 7, 2014
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
FT. LAUDERDALE, FL
Past
May 19, 2011 - January 30, 2013
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
FT LAUDERDALE, FL
Past
March 2, 2011 - January 30, 2013
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
FT LAUDERDALE, FL
Past
October 15, 2008 - January 11, 2011
FINANCIAL PLANNING ASSOCIATES,INC.
RIA
CRD#: 112357
PLEASANTVILLE, NY
Past
March 5, 2008 - December 31, 2010
ALTERNATIVE WEALTH STRATEGIES, INC.
BD
CRD#: 130933
FT. LAUDERDALE, FL
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".
IF
INDEPENDENT FINANCIAL PARTNERS
3 PEAKS FINANCIAL | FIRST FINANCIAL OF CITRUS COUNTY | FIRST FEDERAL | FIORI FINANCIAL GROUP | FINSPIRE, LLC | FINANCIAL STRATEGIES GROUP | FINANCIAL RESOURCE CENTER | FINANCIAL PRESCRIPTIONS | FINANCIAL PLANNING & CONSULTING, LLC | FINANCIAL PARTNERS | FINANCIAL MANAGEMENT STRATEGIES | FIDELIS FIDUCIARY MANAGEMENT | FHD FINANCIAL | FARHAT FINANCIAL SERVICES | FAMILY WEALTH PLANNING PARTNERS | FAMILY RESIDENCE AND ESSENTILA ENTERPRISES | FAGO WEALTH MANAGEMENT | F4 WEALTH ADVISORS | EXEUNT, LLC | EXECUTAX FINANCIAL | EVS FINANCIAL | ERINE S TOLENTINO | EQUITY, INC. | EQUITY WEALTH MANAGEMENT | ENGLUND & LINDSTEADT FINANCIAL ADVISORS | ELLIS-SUMMER GROUP | EDD HOLDER & ASSOCIATES | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DTY WEALTH PLANNING SOLUTIONS | DT MOREHEAD, INC. | DIVORCE DIRECTION | DIVIDENT WEALTH MANAGEMENT | DIVDEND WEALTH MANAGEMENT | DIRECTIONAL INVESTMENTS | DILL FINANCIAL SERVICES | DICKMAN FINANCIAL SERVICES | DEW FINANCIAL MANAGEMENT GROUP | DEPTOLA | DELOIA WEALTH MANAGEMENT INC. | DELGADO WEALTH MANAGEMENT | DELANEY FINANCIAL GROUP | DELANCEY WEALTH MANAGEMENT, LLC | DEHAAN WEALTH MANAGEMENT | DCS RETIREMENT CONSULTANTS | DCS PENSIONMARK | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DAVIS ADVANTAGE WEALTH MANAGEMENT | DARPEL, DICKMAN & HARRIGAN WEALTH MANAGEMENT | DARPEL WEALTH MANAGEMENT | DAN T. PEACOCK & ASSOCIATES | D. MARTINI AND ASSOCIATES, INC. | CYPRESS CAPITAL | CYCAP, LLC | CUMMINGS CAPITAL MANAGEMENT | CT FINANCIAL INC | CS HUDGENS CAPITAL MANAGEMENT | COVENANT WEALTH MANAGEMENT | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORNERSTONE RETIREMENT ADVISORS, LLC | CORNERSTONE LEGACY WEALTH MANAGEMENT | CONNORS WEALTH MANAGEMENT | COLTON SMITH, LLC | COLLABORATIVE FINANCIAL SOLUTIONS, LLC | COGENT WEALTH MANAGEMENT, LLC | CLEARPOINT FINANCIAL | CLEAR FINANCIAL STRATEGIES | CLEAR ADVICE FINANCIAL | CHEPENIK FINANCIAL | CHANDLER O'REAR & ASSOCIATES | CHAMPION WEALTH MANAGEMENT | CERTA FINANCIAL PLANNING | CENTERPOINTE WEALTH MANAGEMENT | CDS WEALTH MANAGEMENT, INC. | CDS WEALTH MANAGEMENT | CBB FINANCIAL, INC. | CASTRINOS FINANCIAL | CASTNER JOSEPHS RETIREMENT GROUP INC | CASTERLIN & YOST FINANCIAL SERVICE GROUP | CAPITAL RETIREMENT GROUP | CAPITAL CONCLUSIONS CORPORATION | CAPITAL CONCLUSION CORPORATION | CANOPY ASSET MANAGEMENT | CANARY WEALTH STRATEGIES | CAMERON FINANCIAL MANAGEMENT | CALLESEN WEALTH MANAGEMENT | CALLAHAN WEALTH MANAGEMENT | CADEN CAPITAL | BUILDING FINANCIAL STRENGTH | BUELOW FINANCIAL GROUP | BRYSON WEALTH MANAGEMENT | BRYSON FINANCIAL | BROWNING AGENCY OF PONTE VEDRA, INC. | BROWN SERVICES GROUP | BROWN INVESTMENTS | BRIGHTON WEALTH MANAGEMENT | BRANDENBURG FINANCIAL | BOSCH FINANCIAL | BLUEROCK INVESTMENT SERVICES | BLUEPRINT WEALTH MANAGEMENT | BLUEPRINT RETIREMENT | BLUEPRINT FINANCIAL CORPORATION | BJORK ASSET MANAGEMENT | BJORK ASSET MANAGEMENT, INC. | BIG ROCK WEALTH MANAGEMENT | BENEFITS MATRIX, LLC | BENEDICT WEALTH ADVISORY GROUP, LLC | BELL WEALTH MANAGEMENT | BCG TERMINAL FUDNING CO. | BCG PENSIONMARK | BAY AREA WEALTH MANAGEMENT | BARNES CAPITAL GROUP | BARNES & COMPANY INVESTMENT COUNSEL | BANDCO TEVIS INVESTMENT STRATEGIES | BALANCED ASSET STRATEGIES, LTD. | BALANCED ASSET STRATEGIES | B GREEN WEALTH MANAGEMENT | AXIOS ADVISORY GROUP LTD | AWA INVESTMENT ADVISORS | AVILA INVESTMENTS & INSURANCE GROUP | AVENUE WEALTH MANAGEMENT | AUDET WEALTH ADVISORS | AUDET INVESTMENT MANAGEMENT, INC. | ATLANTIC CAPITAL ADVISORS | ATHANASSIE CAPITAL PARTNERS | ASSURE FINANCIAL SERVIXES, LLC | ASSURE FINANCIAL SERVICES, LLC | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARENA & BROWN RETIREMENT CONSULTANTS | ANTONETTI CAPITAL MANAGEMENT | ANCHOR WEALTH MANAGEMENT | AMERITRUST CAPITAL MANAGEMENT | AMELIA WEALTH MANAGEMENT | ALL BENEFITS CONSULTING CORP. | ALFORD-JUNGERS FINANCIAL | AFG, LLC | ADVOCATE CONSULTING GROUP | ADVANTAGE BENEFIT SERVICE | ADVANCED STRATEGIES GROUP, LLC | ACUMEN WEALTH ADVISORS | ACUMEN CAPITAL GROUP | ACCORDANCE PRIVATE WEALTH MANAGEMENT | 7620 DIXIE HIGHWAY, LLC | 401K PLAN PROFESSIONALS | 401K MATRIX | 401K ADVISORS, LLC | 401K ADVISORS INTERMOUNTAIN | 360 WEALTH MANAGEMENT...
CRD#: 125112 / SEC#: 801-69511
RIA
Registered Investment Advisory firm - (9/19/2008 Approved)Florida
Registered Investment Advisory firm - (9/26/2008 Terminated)Georgia
Registered Investment Advisory firm - (9/26/2008 Terminated)New York
Registered Investment Advisory firm - (1/10/2005 Cancelled)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(3/27/2024)
IAR
Arizona(4/5/2024)
RR
Arkansas(5/26/2023)
RR
California(10/25/2019)
IAR
California(11/17/2020)
RR
Colorado(10/25/2019)
IAR
Colorado(12/9/2019)
RR
Florida(10/25/2019)
IAR
Florida(11/1/2019)
IAR
Georgia(1/18/2022)
RR
Georgia(10/4/2022)
RR
Idaho(10/8/2021)
IAR
Idaho(10/14/2021)
RR
Illinois(10/25/2019)
RR
Indiana(10/25/2019)
RR
Kentucky(4/23/2024)
RR
Michigan(1/24/2022)
IAR
Michigan(1/26/2022)
RR
Minnesota(10/25/2019)
RR
Mississippi(3/14/2025)
IAR
Mississippi(3/14/2025)
RR
Nebraska(10/25/2019)
RR
Nevada(10/25/2019)
IAR
Nevada(10/7/2021)
RR
New Hampshire(10/25/2019)
RR
New Jersey(10/25/2019)
IAR
New Jersey(7/15/2021)
RR
New York(10/25/2019)
IAR
New York(2/8/2022)
RR
North Carolina(10/25/2019)
IAR
North Carolina(10/25/2019)
RR
Ohio(10/25/2019)
IAR
Ohio(7/26/2022)
RR
Oregon(10/25/2019)
RR
Pennsylvania(10/25/2019)
IAR
Pennsylvania(5/20/2024)
IAR
South Carolina(12/15/2021)
RR
Texas(10/25/2019)
IAR
Texas(10/25/2019)
RR
Virginia(10/25/2019)
IAR
Virginia(8/8/2024)
RR
Washington(10/25/2019)
IAR
Washington(10/13/2020)
RR
Wisconsin(10/25/2019)
IAR
Wisconsin(4/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INDEPENDENT FINANCIAL PARTNERS
3 PEAKS FINANCIAL | FIRST FINANCIAL OF CITRUS COUNTY | FIRST FEDERAL | FIORI FINANCIAL GROUP | FINSPIRE, LLC | FINANCIAL STRATEGIES GROUP | FINANCIAL RESOURCE CENTER | FINANCIAL PRESCRIPTIONS | FINANCIAL PLANNING & CONSULTING, LLC | FINANCIAL PARTNERS | FINANCIAL MANAGEMENT STRATEGIES | FIDELIS FIDUCIARY MANAGEMENT | FHD FINANCIAL | FARHAT FINANCIAL SERVICES | FAMILY WEALTH PLANNING PARTNERS | FAMILY RESIDENCE AND ESSENTILA ENTERPRISES | FAGO WEALTH MANAGEMENT | F4 WEALTH ADVISORS | EXEUNT, LLC | EXECUTAX FINANCIAL | EVS FINANCIAL | ERINE S TOLENTINO | EQUITY, INC. | EQUITY WEALTH MANAGEMENT | ENGLUND & LINDSTEADT FINANCIAL ADVISORS | ELLIS-SUMMER GROUP | EDD HOLDER & ASSOCIATES | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DTY WEALTH PLANNING SOLUTIONS | DT MOREHEAD, INC. | DIVORCE DIRECTION | DIVIDENT WEALTH MANAGEMENT | DIVDEND WEALTH MANAGEMENT | DIRECTIONAL INVESTMENTS | DILL FINANCIAL SERVICES | DICKMAN FINANCIAL SERVICES | DEW FINANCIAL MANAGEMENT GROUP | DEPTOLA | DELOIA WEALTH MANAGEMENT INC. | DELGADO WEALTH MANAGEMENT | DELANEY FINANCIAL GROUP | DELANCEY WEALTH MANAGEMENT, LLC | DEHAAN WEALTH MANAGEMENT | DCS RETIREMENT CONSULTANTS | DCS PENSIONMARK | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DAVIS ADVANTAGE WEALTH MANAGEMENT | DARPEL, DICKMAN & HARRIGAN WEALTH MANAGEMENT | DARPEL WEALTH MANAGEMENT | DAN T. PEACOCK & ASSOCIATES | D. MARTINI AND ASSOCIATES, INC. | CYPRESS CAPITAL | CYCAP, LLC | CUMMINGS CAPITAL MANAGEMENT | CT FINANCIAL INC | CS HUDGENS CAPITAL MANAGEMENT | COVENANT WEALTH MANAGEMENT | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORNERSTONE RETIREMENT ADVISORS, LLC | CORNERSTONE LEGACY WEALTH MANAGEMENT | CONNORS WEALTH MANAGEMENT | COLTON SMITH, LLC | COLLABORATIVE FINANCIAL SOLUTIONS, LLC | COGENT WEALTH MANAGEMENT, LLC | CLEARPOINT FINANCIAL | CLEAR FINANCIAL STRATEGIES | CLEAR ADVICE FINANCIAL | CHEPENIK FINANCIAL | CHANDLER O'REAR & ASSOCIATES | CHAMPION WEALTH MANAGEMENT | CERTA FINANCIAL PLANNING | CENTERPOINTE WEALTH MANAGEMENT | CDS WEALTH MANAGEMENT, INC. | CDS WEALTH MANAGEMENT | CBB FINANCIAL, INC. | CASTRINOS FINANCIAL | CASTNER JOSEPHS RETIREMENT GROUP INC | CASTERLIN & YOST FINANCIAL SERVICE GROUP | CAPITAL RETIREMENT GROUP | CAPITAL CONCLUSIONS CORPORATION | CAPITAL CONCLUSION CORPORATION | CANOPY ASSET MANAGEMENT | CANARY WEALTH STRATEGIES | CAMERON FINANCIAL MANAGEMENT | CALLESEN WEALTH MANAGEMENT | CALLAHAN WEALTH MANAGEMENT | CADEN CAPITAL | BUILDING FINANCIAL STRENGTH | BUELOW FINANCIAL GROUP | BRYSON WEALTH MANAGEMENT | BRYSON FINANCIAL | BROWNING AGENCY OF PONTE VEDRA, INC. | BROWN SERVICES GROUP | BROWN INVESTMENTS | BRIGHTON WEALTH MANAGEMENT | BRANDENBURG FINANCIAL | BOSCH FINANCIAL | BLUEROCK INVESTMENT SERVICES | BLUEPRINT WEALTH MANAGEMENT | BLUEPRINT RETIREMENT | BLUEPRINT FINANCIAL CORPORATION | BJORK ASSET MANAGEMENT | BJORK ASSET MANAGEMENT, INC. | BIG ROCK WEALTH MANAGEMENT | BENEFITS MATRIX, LLC | BENEDICT WEALTH ADVISORY GROUP, LLC | BELL WEALTH MANAGEMENT | BCG TERMINAL FUDNING CO. | BCG PENSIONMARK | BAY AREA WEALTH MANAGEMENT | BARNES CAPITAL GROUP | BARNES & COMPANY INVESTMENT COUNSEL | BANDCO TEVIS INVESTMENT STRATEGIES | BALANCED ASSET STRATEGIES, LTD. | BALANCED ASSET STRATEGIES | B GREEN WEALTH MANAGEMENT | AXIOS ADVISORY GROUP LTD | AWA INVESTMENT ADVISORS | AVILA INVESTMENTS & INSURANCE GROUP | AVENUE WEALTH MANAGEMENT | AUDET WEALTH ADVISORS | AUDET INVESTMENT MANAGEMENT, INC. | ATLANTIC CAPITAL ADVISORS | ATHANASSIE CAPITAL PARTNERS | ASSURE FINANCIAL SERVIXES, LLC | ASSURE FINANCIAL SERVICES, LLC | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARENA & BROWN RETIREMENT CONSULTANTS | ANTONETTI CAPITAL MANAGEMENT | ANCHOR WEALTH MANAGEMENT | AMERITRUST CAPITAL MANAGEMENT | AMELIA WEALTH MANAGEMENT | ALL BENEFITS CONSULTING CORP. | ALFORD-JUNGERS FINANCIAL | AFG, LLC | ADVOCATE CONSULTING GROUP | ADVANTAGE BENEFIT SERVICE | ADVANCED STRATEGIES GROUP, LLC | ACUMEN WEALTH ADVISORS | ACUMEN CAPITAL GROUP | ACCORDANCE PRIVATE WEALTH MANAGEMENT | 7620 DIXIE HIGHWAY, LLC | 401K PLAN PROFESSIONALS | 401K MATRIX | 401K ADVISORS, LLC | 401K ADVISORS INTERMOUNTAIN | 360 WEALTH MANAGEMENT...
CRD#: 125112 / SEC#: 801-69511
RIA
Registered Investment Advisory firm - (9/19/2008 Approved)Florida
Registered Investment Advisory firm - (9/26/2008 Terminated)Georgia
Registered Investment Advisory firm - (9/26/2008 Terminated)New York
Registered Investment Advisory firm - (1/10/2005 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3030 North Rocky Point Drive West Suite 700, Tampa, FL 33607
Mailing Address
Phone number
(813) 341-0960
Established
Firm type
Fiscal year end
# of Employees
267
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45,782 |
| AUM (Assets Under Management) | $ 12,538,891,425 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/30/2023 | ||
| 08/28/2023 |
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.
Company Information
INDEPENDENT FINANCIAL PARTNERS
CRD#: 125112Fort Lauderdale, FL 33309TRUST BUT VERIFY
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