JW
James L. Worrell
WELLTH ADVISORY SERVICES
Providence, RI 02903
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CRD#: 2268822
JW
Professional summary
James Lewis Worrell, who also goes by Jamie Worrell, is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Providence, Rhode Island and LPL FINANCIAL LLC located in Providence, Rhode Island.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamie Worrell
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.
1) 02/2007 - DBA for LPL Business (entity for LPL business) - GPS INVESTMENT ADVISORS, LLC - 90% - INVESTMENT RELATED - PROVIDENCE, RI 02903 2) 10/2015 - DBA for LPL Business (entity for LPL business) - Strategic Retirement Partners - 0% - INVESTMENT RELATED - SHOREWOOD, IL 60404 3) 01/2017 - Business Entity For Tax/Investment Purposes Only - Given To Fly, LLC - 0% - INVESTMENT RELATED - SHOREWOOD, IL 60404 4) 04/2019 - Business Entity For Tax/Investment Purposes Only - SRP HOLDINGS GROUP, LLC - 0% - INVESTMENT RELATED - SHOREWOOD, IL 5) 01/2009 - Non-Variable Insurance - Neighborhood Health Plan of RI - 1% - INVESTMENT RELATED - PROVIDENCE, RI 02903. 6) 4/1/2019 - SRP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/2015. 7) 08/14/2024 - WellTh Advisory Services, LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 02/14/2007 - 200 Hours Per Month/ During Trading - I provide investment advisory services through WellTh Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 8/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8) 08/15/2024 - The Horace A. Kimball & S. Ella Kimball Foundation - Non-Profit Board Member - Not Investment Related - 130 Woodville Road Hope Valley, Rhode Island 02832 - Start Date 09/30/2024 - 4 Hours per Month/ 2 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Lewis Worrell's 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®
NoneExperience
Current
June 28, 2024 - Present
WELLTH ADVISORY SERVICES, LLC
Office #1: 42 Weybosset Street, Penthouse, Providence, RI 02903RIA
CRD#: 330537
Providence, RI
Current
April 1, 2019 - Present
LPL FINANCIAL LLC
Office #1: 42 Weybosset St Ph Level, Providence, RI 02903RIA
BD
CRD#: 6413
Providence, RI
Past
April 2, 2019 - July 13, 2024
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Providence, RI
Past
April 20, 2016 - April 1, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Providence, RI
Past
April 11, 2006 - May 5, 2006
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PROVIDENCE, RI
Past
April 11, 2006 - May 5, 2006
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PROVIDENCE, RI
Past
March 29, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Providence, RI
Past
March 29, 2006 - April 1, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Providence, RI
Past
August 23, 2002 - April 11, 2006
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PROVIDENCE, RI
Past
January 2, 2001 - April 11, 2006
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PROVIDENCE, RI
Past
September 20, 2000 - January 5, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 28, 1994 - April 12, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 24, 1994 - October 26, 2000
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
June 7, 1993 - December 31, 1993
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
August 19, 1992 - June 7, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC
CRD#: 330537 / SEC#: 801-130037
RIA
Registered Investment Advisory firm - (4/26/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(2/4/2020)
RR
Connecticut(4/1/2019)
IAR
Connecticut(7/23/2024)
RR
Florida(4/1/2019)
IAR
Florida(8/12/2024)
RR
Georgia(10/6/2020)
RR
Illinois(5/21/2019)
IAR
Maine(7/23/2024)
RR
Massachusetts(4/1/2019)
IAR
Massachusetts(11/12/2024)
RR
Michigan(4/1/2019)
RR
New Hampshire(4/1/2019)
IAR
New Hampshire(7/23/2024)
RR
New Jersey(4/1/2019)
RR
New York(4/1/2019)
IAR
New York(6/28/2024)
RR
North Carolina(4/1/2019)
RR
Pennsylvania(4/1/2019)
RR
Rhode Island(4/1/2019)
IAR
Rhode Island(6/28/2024)
RR
South Carolina(4/1/2019)
RR
Washington(4/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC
CRD#: 330537 / SEC#: 801-130037
RIA
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Contact information
Main Address
Shorewood, IL
Mailing Address
Phone number
(866) 777-4015
Established
Firm type
Fiscal year end
# of Employees
72
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,338 |
| AUM (Assets Under Management) | $ 23,574,040,155 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WELLTH ADVISORY SERVICES, LLC
CRD#: 330537Providence, RI 02903TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
