Douglas R. Gorecki

TD PRIVATE CLIENT WEALTH LLC

Jenkintown, PA 19046

Some features on this profile are disabled

CRD#: 7213883

Professional summary

Douglas Richard Gorecki, who also goes by Douglas Richard Gorecki, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Jenkintown, Pennsylvania.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Douglas has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas Richard Gorecki

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.

Executor of mothers will. Non-investment related. Monroe, NJ. Executor when my mother passes to her will. Start date 6/1/2024. 1 hour and 0 during trading a month if needed. Power of attorney of mother. Non-investment related. Monroe, NJ. Power of Attorney only if needed. Start date of 6/1/2022. 1 hour and 0 during trading a month if needed.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Richard Gorecki's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Douglas Richard Gorecki's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 3, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 710 Old York Road, Jenkintown, PA 19046

RIA

CRD#: 164484

Jenkintown, PA

Current

July 3, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053

RIA

CRD#: 164484

Marlton, NJ

Past

April 17, 2024 - July 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Warrington, PA

Past

April 17, 2024 - July 12, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Warrington, PA

Past

March 28, 2023 - April 15, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PRINCETON, NJ

Past

March 27, 2023 - April 15, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PRINCETON, NJ

Past

January 4, 2023 - February 28, 2023

SPIRIT OF AMERICA MANAGEMENT CORP

RIA

CRD#: 110023

SYOSSET, NY

Past

July 17, 2020 - February 28, 2023

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

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

New Jersey
(9/23/2024)

IAR

New Jersey
(9/23/2024)

Pennsylvania
(7/3/2024)

IAR

Pennsylvania
(7/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/24/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/17/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/14/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas R. Gorecki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Richard Gorecki's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Douglas Richard Gorecki's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SPIRIT OF AMERICA MANAGEMENT CORP

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2022

Series 63

Date: 8/24/2020

Series 7TO

Date: 7/17/2020

SIE

Date: 2/14/2020

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

Similar Advisors