Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Worthington is a financial advisor with over 20 years of experience in the financial services industry. Frances is registered with Cetera Investment Advisers LLC, a firm that has been providing financial advisory services since 1989. Frances has experience working with a variety of clients, including high-net-worth individuals, corporations, and pension plans. Frances is a Certified Financial Planner and holds both Series 63 and 66 licenses. Frances has a strong track record of helping her clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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NC
01/09/2023 - Present
Cetera Investment Advisers LLC (CHARLOTTE NC)
NC
02/04/2019 - 06/25/2019
FORESTERS FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
08/09/2018 - 01/28/2019
PARK AVENUE SECURITIES LLC (CHARLOTTE NC)
NC
07/25/2017 - 06/18/2018
EQUITY SERVICES, INC. (CHARLOTTE NC)
AL
08/10/2009 - 03/24/2017
MML INVESTORS SERVICES, LLC (BIRMINGHAM AL)
PA
04/17/2008 - 05/11/2009
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
TN
01/13/2006 - 04/21/2008
MULTI-FINANCIAL SECURITIES CORPORATION (NASHVILLE TN)
IN
03/15/2002 - 03/31/2004
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
CA
08/22/2001 - 01/02/2002
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
MN
01/17/2000 - 05/30/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/17/2000 - 05/30/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 06/26/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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