Mark J. Vorachek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark John Vorachek, who also goes by Mark J Vorachek, Mark Vorachek, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2016 - September 21, 2016
PNC WEALTH MANAGEMENT LLC
July 7, 2016 - September 21, 2016
PNC WEALTH MANAGEMENT LLC
September 22, 2015 - June 21, 2016
LEGEND ADVISORY, LLC
September 22, 2015 - June 21, 2016
LEGEND EQUITIES CORPORATION
May 12, 2015 - July 23, 2015
MSI FINANCIAL SERVICES, INC.
July 29, 2013 - June 30, 2014
THE HUNTINGTON INVESTMENT COMPANY
July 29, 2013 - June 30, 2014
THE HUNTINGTON INVESTMENT COMPANY
September 19, 2011 - July 11, 2013
THE O.N. EQUITY SALES COMPANY
November 13, 2009 - September 13, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - September 13, 2011
PNC WEALTH MANAGEMENT LLC
September 10, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 28, 2005 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 29, 2005 - October 7, 2005
EQUITABLE ADVISORS, LLC
April 13, 2005 - October 7, 2005
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
