Curtis M. Worrell
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.
Curtis Michael Worrell was a registered financial advisor .
Curtis is a previously registered financial advisor and started their career in finance in 1983. Curtis had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2013 - August 17, 2017
FINANCIAL WEST GROUP
August 9, 2012 - June 19, 2013
ALLIED BEACON PARTNERS, INC.
March 25, 2009 - June 29, 2012
MADISON AVENUE SECURITIES, LLC
June 19, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
January 5, 2006 - June 29, 2012
MADISON AVENUE SECURITIES, LLC
September 14, 1998 - December 31, 2005
L.M. KOHN & COMPANY
October 21, 1992 - December 4, 1995
UNUM SALES CORPORATION
June 5, 1986 - August 19, 1998
NEW ENGLAND SECURITIES
January 27, 1983 - May 12, 1986
SIGNATOR INVESTORS, INC.
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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