Kevin R. Worthley
WEALTH MANAGEMENT RESOURCES
Smithfield, RI 02917
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CRD#: 4089865
Professional summary
Kevin R. Worthley, CFP®, who also goes by Kevin R Worthley, is a registered financial advisor currently at WEALTH MANAGEMENT RESOURCES, INC. located in Smithfield, Rhode Island.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kevin has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin R Worthley
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.) NAME OF OBA: FREELANCE INVESTMENT AND NON-INVESTMENT COMMERCIAL WRITING; ADDRESS OF OBA: WEST KINGSTON, RI 02892; NATURE: AUTHOR; INVESTMENT RELATED: NO; TITLE WITH OBA: WRITER; DUTIES: WRITING PERSONAL FINANCE ARTICLES FOR LOCAL NEWSPAPER AND MEDIA; START DATE: 01/01/2013; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 1; (2.) NAME OF OBA: YOGA TEACHER; ADDRESS OF OBA: VARIOUS RI YOGA STUDIOS; NATURE: TEACHING; INVESTMENT RELATED: NO; TITLE WITH OBA: YOGA INSTRUCTOR; DUTIES: LEAD YOGA CLASSES/PROVIDE INSTRUCTION; START DATE: 11/1/2022; APPROX. NUMBER OF HOURS/MONTH: 8; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: KEVIN WORTHLEY; ADDRESS OF OBA: WEST KINGSTON, RI 02892; NATURE: WRITING COACH TO NEW FICTION AUTHORS; INVESTMENT RELATED: NO; TITLE WITH OBA: WRITING COACH; DUTIES: COACHING NEW FICTION WRITERS ON THEIR WRITING SKILLS; START DATE: 11/18/2024; APPROX. NUMBER OF HOURS/MONTH: 4; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Kevin R. Worthley'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®
CFP®
Start date: 2003
Experience
Current
January 23, 2013 - Present
WEALTH MANAGEMENT RESOURCES, INC.
Office #1: 28 Cedar Swamp Road Suite One, Smithfield, RI 02917RIA
CRD#: 45452
Smithfield, RI
Past
January 23, 2013 - September 11, 2023
WEALTH MANAGEMENT RESOURCES, INC.
BD
CRD#: 45452
Smithfield, RI
Past
December 15, 2010 - December 31, 2011
RIDGEWAY & CONGER, INC.
BD
CRD#: 113055
WARWICK, RI
Past
January 1, 2003 - February 8, 2013
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
RIA
CRD#: 108705
WARWICK, RI
Past
March 27, 2001 - December 21, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WARWICK, RI
Past
January 13, 2000 - April 3, 2001
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WM
WEALTH MANAGEMENT RESOURCES, INC.
WEALTH MANAGEMENT RESOURCES, INC.
CRD#: 45452 / SEC#: 801-57281, 8-51061
RIA
Registered Investment Advisory firm - SEC (2/18/2000 Approved)BD
Terminated by SEC on 09/10/2023
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
Rhode Island(1/23/2013)
IAR
Texas(11/10/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WM
WEALTH MANAGEMENT RESOURCES, INC.
WEALTH MANAGEMENT RESOURCES, INC.
CRD#: 45452 / SEC#: 801-57281, 8-51061
RIA
Registered Investment Advisory firm - SEC (2/18/2000 Approved)BD
Terminated by SEC on 09/10/2023
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Contact information
Main Address
28 Cedar Swamp Road Suite One, Smithfield, RI 02917
Mailing Address
Phone number
(401) 356-1400
Established
Rhode Island since 01/18/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,397 |
| AUM (Assets Under Management) | $ 385,218,918 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WEALTH MANAGEMENT RESOURCES, INC.
CRD#: 45452Smithfield, RI 02917TRUST BUT VERIFY
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