Robert L. Worthington

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 1780243

Professional summary

Robert Leslie Worthington, who also goes by Robert Worthington, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Worthington

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 Robert Leslie Worthington'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

October 10, 2023 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 46106

Portland, ME

Past

September 24, 2018 - August 4, 2023

ICAPITAL SECURITIES, LLC

CRD#: 171061

RALEIGH, NC

Past

October 25, 2017 - September 5, 2018

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423

Raleigh, NC

Past

July 31, 2014 - March 3, 2016

HATTERAS INVESTMENT PARTNERS, LP

RIA

CRD#: 170628

RALEIGH, NC

Past

June 27, 2007 - March 3, 2016

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

February 8, 2007 - July 31, 2014

HATTERAS INVESTMENT PARTNERS LLC

RIA

CRD#: 128703

RALEIGH, NC

Past

January 1, 2005 - October 9, 2006

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

NEW YORK, NY

Past

April 22, 2004 - August 23, 2007

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 107038

NEW YORK, NY

Past

February 2, 2004 - January 1, 2005

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

August 8, 2001 - February 2, 2004

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

February 19, 1999 - July 18, 2001

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

January 1, 1997 - January 8, 1998

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

October 16, 1989 - July 17, 1990

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

January 4, 1988 - July 17, 1989

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824

State Registrations and Notice Filings

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

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

Alabama
(5/7/2024)

Alaska
(5/7/2024)

Arizona
(5/7/2024)

Arkansas
(5/7/2024)

California
(5/7/2024)

Colorado
(5/7/2024)

Connecticut
(5/7/2024)

Delaware
(5/7/2024)

District of Columbia
(5/7/2024)

Florida
(5/7/2024)

Georgia
(5/7/2024)

Hawaii
(5/7/2024)

Idaho
(5/7/2024)

Illinois
(5/7/2024)

Indiana
(5/7/2024)

Iowa
(5/7/2024)

Kansas
(5/7/2024)

Kentucky
(5/7/2024)

Louisiana
(5/7/2024)

Maine
(5/7/2024)

Maryland
(5/7/2024)

Massachusetts
(5/7/2024)

Michigan
(5/7/2024)

Minnesota
(5/7/2024)

Mississippi
(5/7/2024)

Missouri
(5/7/2024)

Montana
(5/8/2024)

Nebraska
(5/7/2024)

Nevada
(5/7/2024)

New Hampshire
(5/7/2024)

New Jersey
(5/7/2024)

New Mexico
(5/7/2024)

New York
(5/7/2024)

North Carolina
(10/10/2023)

North Dakota
(5/7/2024)

Ohio
(5/7/2024)

Oklahoma
(5/7/2024)

Oregon
(5/7/2024)

Pennsylvania
(5/7/2024)

Rhode Island
(5/7/2024)

South Carolina
(5/7/2024)

South Dakota
(5/7/2024)

Tennessee
(3/10/2025)

Texas
(5/7/2024)

Utah
(5/7/2024)

Vermont
(5/7/2024)

Virginia
(5/7/2024)

Washington
(5/7/2024)

West Virginia
(5/7/2024)

Wisconsin
(5/7/2024)

Wyoming
(5/7/2024)

Exams

State Security Law Exam

Series 63

Date: 2/5/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/25/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/27/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/6/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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.

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Robert L. Worthington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Leslie Worthington's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICAPITAL SECURITIES, LLC

BROOKFIELD PRIVATE ADVISORS LLC

HATTERAS INVESTMENT PARTNERS, LP

HATTERAS CAPITAL DISTRIBUTORS, LLC

HATTERAS INVESTMENT PARTNERS LLC

JPMORGAN DISTRIBUTION SERVICES, INC.

J.P. MORGAN INVESTMENT MANAGEMENT INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

FORESIDE FUND SERVICES, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

FUNDS DISTRIBUTOR, LLC

DB ALEX. BROWN LLC

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1997

Series 65

Date: 10/25/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/2/1999

Series 6

Date: 12/27/1996

Series 24

Date: 9/6/2007

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

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