Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mike? Claim Your ProfileMike Worthington is a financial advisor with over 10 years of experience in the industry. Mike is currently registered with J.p. Morgan Securities LLC in California and Texas. Mike is a Certified Financial Planner and holds Series 63, 65, 7 and SIE licenses. Mike has previously worked at Ameritas Investment Corp., WTS Proprietary Trading Group LLC, and S F Sentry Securities, Inc.. Mike specializes in providing financial planning, pension consulting, and selection of other advisors for businesses and individuals.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
10/22/2019 - Present
J.p. Morgan Securities LLC (Mill Valley CA)
CA
05/02/2014 - 12/23/2014
AMERITAS INVESTMENT CORP. (SAN FRANCISCO CA)
NY
04/02/2014 - 04/30/2014
WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)
CA
10/14/2010 - 05/07/2012
S F SENTRY SECURITIES, INC. (SAN FRANCISCO CA)
IA
Issued 05/03/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/13/2010
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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