RD
Robert J. De Young
TD PRIVATE CLIENT WEALTH LLC
Greenville, SC 29607
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CRD#: 7274958
RD
Professional summary
Robert Joseph De Young, who also goes by Joe De Young, Robert Joseph De Young, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Greenville, South Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Robert has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe De Young | Robert Joseph De Young
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.
BANKERSLIFE POSITION: Insurance Agent NATURE: Medicare, LTC, STC, Annuities (not securities related, but Financial Advisors that are licensed deal with those that are) INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/01/2023 ADDRESS: 10 Patewood Dr, Suite 450, Greenville SC 29615, United States DESCRIPTION: I am a 1099 agent for Bankers Life and Casualty Company (BLC). As a BLC agent, I am also appointed with KFA through BLC which allows agents to write business for Medicare Supplement, Annuity and Equity Indexed annuity insurance products, life insurance, health and LTC.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph De Young's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Joseph De Young'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
July 11, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
Greenville, SC
Current
July 11, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
Greenville, SC
Past
May 16, 2024 - July 15, 2024
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
GREENVILLE, SC
Past
March 28, 2024 - July 15, 2024
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
GREENVILLE, SC
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(7/11/2024)
IAR
Connecticut(7/11/2024)
RR
Delaware(7/11/2024)
IAR
Delaware(7/11/2024)
RR
Florida(7/11/2024)
IAR
Florida(7/12/2024)
RR
Maine(7/11/2024)
IAR
Maine(7/11/2024)
RR
Maryland(7/11/2024)
IAR
Maryland(7/11/2024)
RR
Massachusetts(7/11/2024)
IAR
Massachusetts(7/17/2024)
RR
New Hampshire(7/11/2024)
IAR
New Hampshire(7/11/2024)
RR
New Jersey(7/11/2024)
IAR
New Jersey(7/12/2024)
RR
New York(7/11/2024)
IAR
New York(7/11/2024)
RR
North Carolina(7/11/2024)
IAR
North Carolina(7/11/2024)
RR
Pennsylvania(7/11/2024)
IAR
Pennsylvania(7/11/2024)
RR
Rhode Island(7/11/2024)
IAR
Rhode Island(7/11/2024)
RR
South Carolina(7/11/2024)
IAR
South Carolina(7/11/2024)
RR
Vermont(7/11/2024)
IAR
Vermont(7/12/2024)
RR
Virginia(7/11/2024)
IAR
Virginia(7/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities 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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Greenville, SC 29607TRUST BUT VERIFY
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