Joseph E. Worthy

WORTHY FINANCIAL SERVICES

WESTMINSTER, MD

Some features on this profile are disabled

CRD#: 2484078

Professional summary

Joseph Elmer Worthy is a registered financial advisor currently at WORTHY FINANCIAL SERVICES located in Westminster, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Joseph Elmer Worthy'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®

None

Experience

Current

July 2, 2008 - Present

WORTHY FINANCIAL SERVICES

RIA

CRD#: 142462

WESTMINSTER, MD

Past

August 25, 2005 - June 16, 2006

USALLIANZ SECURITIES, INC.

RIA

CRD#: 40875

WESTMINSTER, MD

Past

August 25, 2005 - October 31, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

WESTMINSTER, MD

Past

March 27, 2002 - August 5, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

HUNT VALLEY, MD

Past

May 23, 1994 - August 5, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(7/11/2008)

IAR

Pennsylvania
(7/2/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/3/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/20/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WORTHY FINANCIAL SERVICES

WORTHY ASSET MANAGEMENT | WORTHY, JOSEPH ELMER | WORTHY, JOSEPH E. | WORTHY FINANCIAL SERVICES | WORTHY ASSET MANAGEMENT LLC

CRD#: 142462 / SEC#:

Maryland

Registered Investment Advisory firm - (2/28/2006 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/15/2007 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

607 Nursery Road, Westminster, MD 21157-6109

Mailing Address

Phone number

(410) 751-6923

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 28,113,425

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph E. Worthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Elmer Worthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORTHY FINANCIAL SERVICES

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/2001

Series 63

Date: 3/4/1996

Series 7

Date: 12/3/2001

Series 6

Date: 5/20/1994

Current Firm

WORTHY FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WORTHY FINANCIAL SERVICES

TRUST BUT VERIFY

Similar Advisors