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Monica E. Worcester

Monica E. Worcester

Some features on this profile are disabled
CRD#: 5217370
Monica E. Worcester

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.

Monica E. Worcester, who also goes by Monica E Knight, Monica Eve Knight, Monica Eve Wetherington, Monica Eve Worcester, Monica Eve-hassapelis Worcester, Monica E Worcester, was a registered financial professional .

Monica is a previously registered financial professional and started their career in finance in 2006. Monica had worked at 7 firms and has passed the Series 66, Series 6TO, SIE, Series 7, Series 9 and Series 10 exams.

Biography

As a Planning Consultant, connecting with my clients is incredibly important to me. Trust is a crucial part of working with people and I strive to build trust in every interaction. I work closely with my clients to understand what their goals are and help them build a financial plan that works for them and their families.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Monica E Knight | Monica Eve Knight | Monica Eve Wetherington | Monica Eve Worcester | Monica Eve-Hassapelis Worcester | Monica E Worcester

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2025 - March 26, 2026

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
PITTSTON, ME
Past

August 16, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
PORTLAND, ME
Past

January 24, 2022 - March 26, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
PORTLAND, ME
Past

July 17, 2014 - December 14, 2021

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

May 28, 2013 - July 15, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PORTLAND, ME
Past

April 24, 2013 - July 15, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PORTLAND, ME
Past

February 5, 2010 - April 25, 2013

VALMARK SECURITIES, INC.

BD
CRD#: 31243
FALMOUTH, ME
Past

February 9, 2007 - February 8, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PORTLAND, ME
Past

February 9, 2007 - February 8, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PORTLAND, ME
Past

January 17, 2007 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
PORTLAND, ME
Past

November 21, 2006 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
PORTLAND, ME

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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/1/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/27/2009
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/30/2008
General Securities Sales Supervisor - General Module Examination

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
PREMIUM
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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.

Company Information

STRATEGIC ADVISERS LLC

Planning ConsultantCRD#: 104555

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