Frances Worthington
Professional summary
Frances Worthington, CFP®, who also goes by Fanci Anne Worthington, Frances A Worthington, Frances Anne Worthington, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA INVESTMENT SERVICES LLC located in Charlotte, North Carolina.
Frances is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frances has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frances Worthington's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
June 19, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5200 77 Center Drive Suite 330, Charlotte, NC 28217June 20, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5200 77 Center Drive Suite 330, Charlotte, NC 28217February 4, 2019 - June 25, 2019
FORESTERS ADVISORY SERVICES, LLC
February 4, 2019 - June 25, 2019
FORESTERS FINANCIAL SERVICES, INC.
August 9, 2018 - January 28, 2019
PARK AVENUE SECURITIES LLC
August 9, 2018 - January 28, 2019
PARK AVENUE SECURITIES LLC
July 27, 2017 - June 18, 2018
EQUITY SERVICES, INC.
July 25, 2017 - June 18, 2018
EQUITY SERVICES, INC.
August 20, 2009 - March 24, 2017
MML INVESTORS SERVICES, LLC
August 10, 2009 - March 24, 2017
MML INVESTORS SERVICES, LLC
April 17, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 17, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 15, 2006 - April 21, 2008
CETERA ADVISORS LLC
January 13, 2006 - April 21, 2008
CETERA ADVISORS LLC
March 15, 2002 - March 31, 2004
OSAIC FS, INC.
August 22, 2001 - January 2, 2002
WALNUT STREET SECURITIES, INC.
January 17, 2000 - May 30, 2001
IDS LIFE INSURANCE COMPANY
January 17, 2000 - May 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
