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Joel Swaney
TD PRIVATE CLIENT WEALTH LLC
Greenville, SC 29607
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CRD#: 7437424
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Professional summary
Joel Swaney is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Greenville, South Carolina.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Joel has worked at 1 firm and has passed the Series 65, Series 7TO and SIE 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.
Co-owner of the podcast Cartoon Dumpster Dive. It's not investment-related and was started in May of 2020. I run it with my friend and we will get together weekly to discuss cartoons of the past. I spend 16 hours a month on this podcast outside of business hours. I edit the episodes and provide a history of each cartoon we discuss.
CRS (Client Relationship Summary) - RIA
Click below to view Joel Swaney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joel Swaney'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
January 19, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
Greenville, SC
Current
September 12, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
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.Highlighted states indicate IAR registrations
IAR
Connecticut(1/19/2022)
IAR
Delaware(1/19/2022)
IAR
Florida(1/20/2022)
IAR
Georgia(5/4/2023)
IAR
Maine(1/19/2022)
IAR
Maryland(1/19/2022)
IAR
Massachusetts(2/8/2022)
IAR
New Hampshire(1/19/2022)
IAR
New Jersey(1/20/2022)
IAR
New York(1/19/2022)
IAR
North Carolina(1/19/2022)
IAR
Pennsylvania(1/19/2022)
IAR
Rhode Island(1/19/2022)
IAR
South Carolina(1/19/2022)
IAR
Vermont(1/31/2022)
IAR
Virginia(1/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/11/2025
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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