Eileen V. Worthington
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.
Eileen Victoria Worthington, who also goes by Eileen VIctoria Aufiero, Eileen Worthington, was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1999. Eileen had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - March 23, 2015
TRIDENT PARTNERS LTD.
April 18, 2013 - April 26, 2013
LPL FINANCIAL LLC
June 13, 2011 - June 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2009 - December 15, 2009
MORGAN STANLEY
April 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 26, 2007 - March 22, 2007
CAPITAL ONE INVESTMENT SERVICES LLC
September 18, 2003 - September 8, 2005
CHASE INVESTMENT SERVICES CORP.
January 12, 2001 - July 18, 2003
UBS FINANCIAL SERVICES INC.
October 26, 1999 - January 19, 2001
CITICORP INVESTMENT SERVICES
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
Current Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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