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RW

Robert L. Worthington

THIRD SEVEN CAPITAL
Greenwich, CT 06830
CRD#: 1780243
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RW
Robert Leslie WorthingtonTHIRD SEVEN CAPITAL

Professional summary

Robert Leslie Worthington, who also goes by Robert Worthington, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

June 4, 2026 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
BD
CRD#: 160209
Greenwich, CT
Past

October 10, 2023 - December 1, 2025

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

September 24, 2018 - August 4, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
RALEIGH, NC
Past

October 25, 2017 - September 5, 2018

BROOKFIELD PRIVATE ADVISORS LLC

BD
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

BD
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.

BD
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.

BD
CRD#: 102920
NEW YORK, NY
Past

August 8, 2001 - February 2, 2004

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

February 19, 1999 - July 18, 2001

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

January 1, 1997 - January 8, 1998

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

October 16, 1989 - July 17, 1990

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

January 4, 1988 - July 17, 1989

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 824

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
California
(6/4/2026)
RR
Connecticut
(6/4/2026)
RR
Florida
(6/4/2026)
RR
Georgia
(6/4/2026)
RR
Illinois
(6/4/2026)
RR
Maryland
(6/4/2026)
RR
Massachusetts
(6/4/2026)
RR
Michigan
(6/4/2026)
RR
New Jersey
(6/4/2026)
RR
New York
(6/4/2026)
RR
North Carolina
(6/4/2026)
RR
Pennsylvania
(6/4/2026)
RR
Texas
(6/4/2026)
RR
Wisconsin
(6/4/2026)

Exams

State Security Law Exam
RR
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
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/27/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/6/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

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

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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

THIRD SEVEN CAPITAL LLC

CRD#: 160209Greenwich, CT 06830

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