Robert J. Worrell

WORRELL ADVISORY SERVICES

Branford, CT 06405

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CRD#: 2539187

Professional summary

Robert John Worrell III, who also goes by Robert John Worrell, is a registered financial advisor currently at WORRELL ADVISORY SERVICES located in Branford, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert John 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Worrell III'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

April 20, 2017 - Present

WORRELL ADVISORY SERVICES

Office #1: 202 S. Montowese Street Suite 4, Branford, CT 06405

RIA

CRD#: 285888

Branford, CT

Past

June 10, 2016 - February 12, 2018

SOWELL MANAGEMENT

RIA

CRD#: 127145

Branford, CT

Past

May 23, 2016 - June 8, 2016

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

BRANFORD, CT

Past

April 13, 2016 - June 8, 2016

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

January 27, 2016 - March 3, 2016

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Brandford, CT

Past

January 27, 2016 - March 3, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

Brandford, CT

Past

April 23, 2014 - February 17, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

brandford, CT

Past

April 23, 2014 - February 17, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

brandford, CT

Past

October 6, 1998 - May 1, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRANFORD, CT

Past

August 24, 1998 - May 1, 2014

LPL FINANCIAL LLC

CRD#: 6413

BRANFORD, CT

Past

November 16, 1994 - July 31, 1998

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

Connecticut
(4/20/2017)

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

Series 63

Date: 3/24/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/5/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/15/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WORRELL ADVISORY SERVICES

WORRELL ADVISORY SERVICES | WORRELL III, ROBERT JOHN | WORRELL ADVISORY SERVICES, LLC

CRD#: 285888 / SEC#:

Connecticut

Registered Investment Advisory firm - (4/20/2017 Approved)

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Contact information

Main Address

202 S. Montowese Street Suite 4, Branford, CT 06405

Mailing Address

Phone number

(203) 315-1059

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 5,450,856

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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Firm Stability Insights

Robert J. Worrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Worrell III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOWELL MANAGEMENT

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1997

Series 65

Date: 2/5/1997

SIE

Date: 6/8/2016

Series 6

Date: 11/15/1994

Current Firm

WORRELL ADVISORY SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WORRELL ADVISORY SERVICES

TRUST BUT VERIFY

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