Frances Worthington, financial advisor Charlotte NC

Frances Worthington

CRD Number: 4066395
Current Firm: Cetera Investment Advisers LLC

Frances Worthington (CRD# 4066395) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Charlotte, NC and has over 24 years of experience in the finance industry. Frances Worthington has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cetera Investment Advisers LLC Charlotte, NC Jun 2019 - Current 4
Cetera Investment Services LLC Saint Cloud, MN Jun 2019 - Current 4
Society Of Financial Services Professionals New Town Square, PA May 2017 - Current 6
Rental Property Lexington, NC Aug 2001 - Current 22
Foresters Financial Services Charlotte, NC Jan 2019 - Jun 2019 < 1
Foresters Advisory Services Charlotte, NC Jan 2019 - Jun 2019 < 1
Park Avenue Securities Charlotte, NC Aug 2018 - Jan 2019 < 1
Guardian Life Insurance Co Of America Charlotte, NC Jun 2018 - Jan 2019 < 1
Summit Advisory Group Charlotte, NC Jul 2017 - Jun 2018 < 1
Equity Services Inc. Montpelier, VT Jul 2017 - Jun 2018 < 1
Unemployed Lexington, NC Mar 2017 - Jul 2017 < 1
Massmutual Life Insurance Company Brentwood, TN Jul 2009 - Mar 2017 7
Mml Investors Services Brentwood, TN Jul 2009 - Mar 2017 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2000
S66 NASAA Uniform Combined State Law Examination Jun 2006
Contact Info for Frances Worthington
Phone Number: 888-528-2987
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    33,356
    MILLIONS
  • Total Number of Accounts
    176,986
    ACCOUNTS
  • Average Account Value
    $188,469
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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