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SW

Sylvia J. Worthem

CAPITAL & ESTATE MANAGEMENT
Spring Hill, FL 34609
Some features on this profile are disabled
CRD#: 1558280
SW

Professional summary

Sylvia Jean Worthem, who also goes by Sylvia Jean Fritz, Sylvia Worthem Fritz, Sylvia Jean Repetto, Sylvia Worthem, is a registered financial professional currently at CAPITAL & ESTATE MANAGEMENT, INC. located in Spring Hill, Florida.

Sylvia is registered as a RR (Registered Representative) and started their career in finance in 1987. Sylvia has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 28, Series 24 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sylvia Jean Fritz | Sylvia Worthem Fritz | Sylvia Jean Repetto | Sylvia Worthem

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sylvia Jean Worthem'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

August 2, 2011 - Present

CAPITAL & ESTATE MANAGEMENT, INC.

Office #1: 7143 Mariner Blvd., Spring Hill, FL 34609Office #2: 7143 Mariner Blvd., Spring Hill, FL 34609
BD
CRD#: 148504
Spring Hill, FL
Past

May 11, 2010 - July 26, 2011

FINANCIAL WEST GROUP

RIA
CRD#: 16668
SPRING HILL, FL
Past

March 29, 2010 - July 26, 2011

FINANCIAL WEST GROUP

BD
CRD#: 16668
SPRING HILL, FL
Past

August 30, 2005 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
SPRING HILL, FL
Past

May 21, 2004 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
SPRING HILL, FL
Past

July 21, 1999 - May 28, 2004

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SPRING HILL, FL
Past

July 20, 1999 - May 28, 2004

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

February 24, 1987 - June 4, 1987

BRADSTREET CAPITAL, INC.

BD
CRD#: 14738

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(8/16/2011)
RR
Florida
(8/4/2011)
RR
Maine
(9/28/2011)
RR
Massachusetts
(5/2/2013)
RR
New York
(8/10/2011)
RR
Ohio
(8/29/2011)
RR
Texas
(9/2/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/2/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/17/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/22/1986
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 9/7/2010
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 8/22/1986
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

C&
CAPITAL & ESTATE MANAGEMENT, INC.
CAPITAL & ESTATE MANAGEMENT, INC.

CRD#: 148504 / SEC#: , 8-68039

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7143 Mariner Blvd., Spring Hill, FL 34609
Mailing Address
7143 Mariner Blvd., Spring Hill, FL 34609
Phone number
(813) 230-1090
Established
Florida since 01/01/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UMBER, JOHN CHARLESCEO;COO;CLO;CCO;DIR;OS;AMLCP;EXECUTIVE REPRESENTATIVE;GENERAL SECURITIES PRINCIPAL; COMPLIANCE OFFICER1501471
WORTHEM, SYLVIA JEANCFO; FINOP; GENERAL SECURITIES PRINCIPAL; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER1558280

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.

Company Information

CAPITAL & ESTATE MANAGEMENT, INC.

CRD#: 148504Spring Hill, FL 34609

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