Douglas K. Woodward
TD PRIVATE CLIENT WEALTH LLC
Mt. Laurel, NJ 08054
Some features on this profile are disabled
CRD#: 3018072
Professional summary
Douglas Keith Woodward, CFP® is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Mt. Laurel, New Jersey.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Douglas has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Keith Woodward's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Keith Woodward'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®
CFP®
Start date: 2010
Experience
Current
February 22, 2017 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9000 Horizon Way Suite 420, Mt. Laurel, NJ 08054RIA
BD
CRD#: 164484
Mt. Laurel, NJ
Current
February 22, 2017 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9000 Horizon Way Suite 420, Mt. Laurel, NJ 08054RIA
BD
CRD#: 164484
Mt. Laurel, NJ
Past
September 17, 2008 - February 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BALTIMORE, MD
Past
April 10, 2008 - February 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BALTIMORE, MD
Past
March 21, 2003 - March 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BALTIMORE, MD
Past
May 7, 2001 - March 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BALTIMORE, MD
Past
March 13, 1998 - March 21, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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
Delaware(3/1/2017)
IAR
Delaware(3/6/2017)
RR
District of Columbia(2/24/2021)
IAR
District of Columbia(3/2/2021)
RR
Florida(2/27/2018)
IAR
Florida(3/8/2018)
RR
Illinois(3/1/2017)
IAR
Illinois(3/1/2017)
RR
Iowa(6/23/2023)
IAR
Iowa(6/23/2023)
RR
Maryland(2/22/2017)
IAR
Maryland(2/22/2017)
RR
Massachusetts(2/24/2021)
IAR
Massachusetts(3/2/2021)
RR
North Carolina(10/31/2024)
IAR
North Carolina(10/31/2024)
RR
Pennsylvania(2/24/2021)
IAR
Pennsylvania(2/24/2021)
RR
South Carolina(2/18/2025)
IAR
South Carolina(2/18/2025)
RR
Texas(7/26/2023)
IAR
Texas(7/26/2023)
RR
Virginia(2/22/2017)
IAR
Virginia(2/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
