CW
Carl F. Worden
EQUITY ADVISORS
Zepher Cove, NV
Some features on this profile are disabled
CRD#: 3130121
CW
Professional summary
Carl Frederick Worden III, who also goes by Carl Frederick Worden, is a registered financial advisor currently at EQUITY ADVISORS, LLC located in Zepher Cove, Nevada.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Carl has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Frederick Worden
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)Tax Deferral Strategies LLC; not investment related; 9120 Double Diamond Parkway Reno, NV 89521; This company is a training platform for financial advisors that wish to focus on and learn various different tax deferral strategies so they can be applied to their own businesses. Website educating on capital gains tax deferral; CEO; 11/4/16; 12 hours during the month; 3 hours during trading hours. 2) EXP Reality; Licensed Real estate Agent; Not-investment related; 1760 Cushman St., Hollister, CA 95023; Nonpracticing Real Estate Agent; Real Estate Agent;3/1/17; 0 hours per month; 0 hours during trading hours; Non practicing Real estate agent 3) Tax Strategies Marketing LLC; This is a marketing business focused on tax minimization options and investments. Not investment related. Tax Strategies Marketing; 9120 Double Diamond Parkway Reno, NV 89521, CEO:; Start date December 15, 2020; 10 hours per month, 8 hours during trading hours. 4) Worden Wealth Management, LLC; 1031 Lynn Way, Zephyr Cove, NV 89448; Sole Proprietor; Start date: August 8, 2022; This is a company attributable to personal real estate investments. Not investment related. 0 hours per month, 0 hours during trading hours. 5) Life, Accident & Health or Sickness Insurance Sales; 1031 Lynn Way, Zephyr Cove, NV 89448; Insurance Agent, Start Date: 12/28/1987; Investment Related. 3 hours per month, 3 hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Frederick Worden 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®
NoneExperience
Current
February 8, 2019 - Present
EQUITY ADVISORS, LLC
RIA
CRD#: 300031
Zepher Cove, NV
Past
June 18, 2019 - April 17, 2020
SAXONY SECURITIES, INC.
BD
CRD#: 115547
San Jose, CA
Past
April 25, 2016 - March 29, 2019
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
SAN JOSE, CA
Past
April 22, 2016 - March 29, 2019
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
SAN JOSE, CA
Past
March 13, 2015 - April 27, 2016
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
SAN JOSE, CA
Past
March 13, 2015 - April 27, 2016
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
San Jose, CA
Past
July 7, 2009 - March 23, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
SAN JOSE, CA
Past
October 17, 2007 - March 23, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
SAN JOSE, CA
Past
February 4, 1999 - July 18, 2007
PFS INVESTMENTS INC.
BD
CRD#: 10111
SANTA CLARA, CA
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
Alabama(9/18/2025)
IAR
California(2/8/2019)
IAR
Florida(3/5/2025)
IAR
Missouri(8/8/2019)
IAR
Nevada(6/18/2020)
IAR
New Jersey(5/22/2020)
IAR
North Carolina(11/7/2019)
IAR
Pennsylvania(11/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
EA
EQUITY ADVISORS, LLC
EQUITY ADVISORS, LLC | SHOCKWAVE ADVISORS | LIFELONG RETIREMENT CORP
CRD#: 300031 / SEC#:
California
Registered Investment Advisory firm - (2/8/2019 Approved)Florida
Registered Investment Advisory firm - (3/5/2025 Approved)Missouri
Registered Investment Advisory firm - (8/8/2019 Approved)Nevada
Registered Investment Advisory firm - (6/18/2020 Approved)New Jersey
Registered Investment Advisory firm - (5/22/2020 Approved)North Carolina
Registered Investment Advisory firm - (11/6/2019 Approved)Pennsylvania
Registered Investment Advisory firm - (11/2/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Zepher Cove, NV
Mailing Address
Phone number
(408) 261-2275
Established
Firm type
Fiscal year end
# of Employees
5
Regulatory assets under management
| Total Number of Accounts | 178 |
| AUM (Assets Under Management) | $ 34,248,743 |
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.
