DB
Dylan J. Berube
TD PRIVATE CLIENT WEALTH LLC
Plymouth, MA 02360
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CRD#: 7174886
DB
Professional summary
Dylan James Berube, who also goes by Dylan James Berube, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Plymouth, Massachusetts.
Dylan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Dylan has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dylan James Berube
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) Musician: writing and recording music (at will, self). 5-20 hours monthly. Not investment related 2) Notary: not actively used. 3) Trustee: Trustee of family trust. Doesn't really take any time, 30-60 minutes a year. Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Dylan James Berube's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dylan James Berube'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
May 15, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 2 Market Crossing, Plymouth, MA 02360RIA
BD
CRD#: 164484
Plymouth, MA
Current
May 11, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 999 Worcester Street, Wellesley, MA 02482RIA
BD
CRD#: 164484
Wellesley, MA
Past
July 19, 2021 - May 9, 2023
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SANDWICH, MA
Past
February 22, 2021 - May 9, 2023
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SANDWICH, MA
Past
September 24, 2019 - December 31, 2020
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PLYMOUTH, MA
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
Connecticut(7/3/2025)
IAR
Connecticut(7/7/2025)
RR
Florida(5/15/2023)
IAR
Florida(5/16/2023)
RR
Massachusetts(5/11/2023)
IAR
Massachusetts(5/15/2023)
RR
Rhode Island(5/15/2023)
IAR
Rhode Island(5/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 9/24/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
