AH
Asher C. Hoopes
TD PRIVATE CLIENT WEALTH LLC
Greenville, SC 29607
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CRD#: 7953115
AH
Professional summary
Asher Christian Hoopes, who also goes by Asher Christian Hoopes, Asher Hoopes, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Greenville, South Carolina.
Asher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Asher has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Asher Christian Hoopes | Asher Hoopes
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) NAME: DWELL AND DAISY INV REL: N ADDR: RESIDENTIAL ADDRESS NATURE: HOME AND GARDEN POP UP BOUTIQUE POSITION: OWNER START DATE: 5/29/2024 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DUTIES: OWNER, MANAGER, SET UP AND BREAK DOWN BOOTH, PURCHASE MERCHANDISE FOR RESALE
CRS (Client Relationship Summary) - RIA
Click below to view Asher Christian Hoopes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Asher Christian Hoopes'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
September 16, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
Greenville, SC
Current
September 16, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607RIA
BD
CRD#: 164484
Greenville, SC
Past
October 18, 2024 - September 8, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
GREENVILLE, SC
Past
July 22, 2024 - September 8, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
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(9/30/2025)
IAR
Connecticut(9/30/2025)
RR
Delaware(9/30/2025)
IAR
Delaware(9/30/2025)
RR
District of Columbia(10/15/2025)
IAR
District of Columbia(10/16/2025)
RR
Florida(9/30/2025)
IAR
Florida(10/1/2025)
RR
Georgia(9/30/2025)
IAR
Georgia(10/1/2025)
RR
Maine(9/30/2025)
IAR
Maine(9/30/2025)
RR
Maryland(9/30/2025)
IAR
Maryland(9/30/2025)
RR
Massachusetts(9/30/2025)
IAR
Massachusetts(10/21/2025)
RR
New Hampshire(9/30/2025)
IAR
New Hampshire(9/30/2025)
RR
New Jersey(9/30/2025)
IAR
New Jersey(9/30/2025)
RR
New York(9/30/2025)
IAR
New York(9/30/2025)
RR
Ohio(9/30/2025)
IAR
Ohio(9/30/2025)
RR
Pennsylvania(9/30/2025)
IAR
Pennsylvania(9/30/2025)
RR
Rhode Island(9/30/2025)
IAR
Rhode Island(9/30/2025)
RR
South Carolina(9/16/2025)
IAR
South Carolina(9/16/2025)
RR
Vermont(9/30/2025)
IAR
Vermont(9/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/22/2024
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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