Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DAVID TA-WAI YU
CRD#: 5484970
IA
B
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 3343 W. Commercial Blvd
Ste 107
Fort Lauderdale, FL 33309
Ste 107
Fort Lauderdale, FL 33309
IFP SECURITIES, LLCCRD#: 297287 3343 W Commercial Blvd
#107
Fort Lauderdale, FL 33309
#107
Fort Lauderdale, FL 33309
View By:
6/8/2023
Customer Dispute
Settled
State Registrations
B
Arizona 3/27/2024
IA
Nevada 10/7/2021
IA
Arizona 4/5/2024
B
New Hampshire 10/25/2019
B
Arkansas 5/26/2023
B
New Jersey 10/25/2019
B
California 10/25/2019
IA
New Jersey 7/15/2021
IA
California 11/17/2020
B
New York 10/25/2019
B
Colorado 10/25/2019
IA
New York 2/8/2022
IA
Colorado 12/9/2019
B
North Carolina 10/25/2019
B
Florida 10/25/2019
IA
North Carolina 10/25/2019
IA
Florida 11/1/2019
B
Ohio 10/25/2019
IA
Georgia 1/18/2022
IA
Ohio 7/26/2022
B
Georgia 10/4/2022
B
Oregon 10/25/2019
B
Idaho 10/8/2021
B
Pennsylvania 10/25/2019
IA
Idaho 10/14/2021
IA
Pennsylvania 5/20/2024
B
Illinois 10/25/2019
IA
South Carolina 12/15/2021
B
Indiana 10/25/2019
B
Tennessee 4/19/2023
B
Kentucky 4/23/2024
B
Texas 10/25/2019
B
Michigan 1/24/2022
IA
Texas 10/25/2019
IA
Michigan 1/26/2022
B
Virginia 10/25/2019
B
Minnesota 10/25/2019
IA
Virginia 8/8/2024
B
Mississippi 3/14/2025
B
Washington 10/25/2019
IA
Mississippi 3/14/2025
IA
Washington 10/13/2020
B
Nebraska 10/25/2019
B
Wisconsin 10/25/2019
B
Nevada 10/25/2019
IA
Wisconsin 4/20/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/25/2019
B
Registered with this firm since 10/25/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/18/2014 - 10/25/2019 | FORT LAUDERDALE, FL | |
B | 02/18/2014 - 10/25/2019 | Fort Lauderdale, FL | |
IA | 01/25/2013 - 03/07/2014 | ORLANDO, FL | |
B | 01/18/2013 - 03/07/2014 | FT. LAUDERDALE, FL | |
IA | 05/19/2011 - 01/30/2013 | FT LAUDERDALE, FL | |
B | 03/02/2011 - 01/30/2013 | FT LAUDERDALE, FL | |
IA | 10/15/2008 - 01/11/2011 | PLEASANTVILLE, NY | |
B | 03/05/2008 - 12/31/2010 | FT. LAUDERDALE, FL |
PLEASANTVILLE, NY
10/15/2008 - 01/11/2011
FT. LAUDERDALE, FL
03/05/2008 - 12/31/2010
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.