David Ta-Wai Yu

Employer firm

Independent Financial Partners CRD 125112

$16.3B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• NON-DISCRETIONARY INVESTMENT ADVICE

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/1999 → Present
  American Airlines
  Miami, FL
• 02/2014 → 10/2019
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 02/2014 → 10/2019
  Kovack Advisors, Inc.
  Fort Lauderdale, FL
• 10/2019 → Present
  Ifp Securities, Llc
  Tampa, FL
• 10/2019 → Present
  Independent Financial Partners
  Tampa, FL

Previous Registrations

• 2014-02-18 → 2019-10-25
  Kovack Advisors, Inc.
  Ft. Lauderdale, FL
  Fort Lauderdale, FL
• 2013-01-25 → 2014-03-07
  International Assets Investment Management, Llc
  Orlando, FL
• 2011-05-19 → 2013-01-30
  Questar Asset Management, Inc.
  Ft Lauderdale, FL
  Ft. Lauderdale, FL
  Minneapolis, MN
• 2008-10-15 → 2011-01-11
  Financial Planning Associates,Inc.
  Pleasantville, NY

Other Businesses

1) DTY Wealth Planning Solutions- DBA; Investment Related; 3343 West Commercial Blvd, #107, Ft. Lauderdale, FL 33309; President and Wealth Advisor, offering financial advice in a fiduciary capacity; Securities, insurance and annuities; Start 1/1/2012; 50 hours a week. 2) DTY TAX SERVICES, INC. - 3343 W. COMMERCIAL BLVD #107 FT. LAUDERDALE, FL 33309; TAX PREPARATION; NON INVESTMENT RELATED; OWNER; OVERSEE TAX PREPARER; 5% OF TIME SPENT 3) FIXED INSURANCE SALES - 3343 W. COMMERCIAL BLVD #107, FORT LAUDERDALE, FL 33309; FIXED INSURANCE SALES; NON INVESTMENT RELATED; INSURANCE AGENT; SELL INSURANCE; 5% OF TIME SPENT 4) AMERICAN AIRLINES PILOT - Terminal D Flight Operations American Airlines ; AVIATION; NON INVESTMENT RELATED; PILOT; FLYING; 5% OF TIME SPENT 5) TACTICAL ASSESTS LLC - 3343 W COMMERCIAL BLVD #107 FT. LAUDERDALE, FL 33309; REAL ESTATE; NON INVESTMENT RELATED; OWNER; COLLECT RENT; 1% OF TIME SPENT 6) OFF CENTER INVESTMENTS LLC - 3343 W COMMERCIAL BLVD #107 FT. LAUDERDALE, FL 33309; REAL ESTATE; NON INVESTMENT RELATED; OWNER; COLLECT RENT; 1% OF TIME SPENT 7) PENN MUTUAL LIFE INSURANCE COMPANY - 600 DRESHER ROAD HORSHAM, PA 19044; FIXED INSURANCE; AGENT; 3-5 HOURS SPENT PER WEEK 8) PURSUIT LEASING INC. - 3343 W. COMMERCIAL BLVD. STE 107; FORT LAUDERDALE, FL 33309; HOLDING COMPANY FOR BOAT; NON-INVESTMENT RELATED; PRESIDENT; <1% OF TIME SPENT 9) Core Income – investment related – 5940 Golden Hills Dr., Minneapolis, MN 55416 – fixed annuity insurance services – agent – start date Jun 5, 2026 – 15 hours/month (3 during trading hours) – reviews and evaluates fixed annuity insurance products

Exams

• S66 Uniform Combined State Law Examination
  2008-05-02