Sandra R. Worsham
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.
Sandra Renee Worsham, who also goes by Sandra Renee Riggs, Sandra Riggs, Sandy Riggs, Sandra Renee Whited, Sandra Whited, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1994. Sandra had worked at 8 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2025 - September 5, 2025
NEXT FINANCIAL GROUP, INC.
April 1, 2021 - September 5, 2025
GROVE POINT ADVISORS, LLC
August 28, 2019 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
August 28, 2019 - September 5, 2025
GROVE POINT INVESTMENTS, LLC
July 23, 1998 - June 25, 2018
INVEST FINANCIAL CORPORATION
June 1, 1998 - December 31, 2000
INVESTMENT CENTERS OF AMERICA, INC.
May 14, 1998 - September 10, 2018
INVEST FINANCIAL CORPORATION
March 21, 1997 - May 26, 1998
BIRCHTREE FINANCIAL SERVICES LLC
May 3, 1995 - May 28, 1997
MCC SECURITIES, INC.
January 24, 1994 - March 1, 1994
WOODBURY FINANCIAL SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
