Monica E. Worcester

STRATEGIC ADVISERS LLC | Planning Consultant

PITTSTON, ME

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CRD#: 5217370

Professional summary

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, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Pittston, Maine and FIDELITY BROKERAGE SERVICES LLC located in Portland, Maine.

Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Monica has 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"?

Yes

Aliases

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) - RIA

Click below to view Monica E. Worcester's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 190 Middle Street Suite 201 & 701, Portland, ME 04101-6423

RIA

CRD#: 104555

PITTSTON, ME

Current

January 24, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 190 Middle Street Suite 201 & 701, Portland, ME 04101-6423

CRD#: 7784

PORTLAND, ME

Past

August 16, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

PORTLAND, ME

Past

July 17, 2014 - December 14, 2021

EMPOWER FINANCIAL SERVICES, INC.

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.

CRD#: 8174

PORTLAND, ME

Past

February 5, 2010 - April 25, 2013

VALMARK SECURITIES, INC.

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.

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.

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".

STRATEGIC ADVISERS LLC

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/28/2022)

California
(4/14/2022)

Colorado
(11/23/2022)

Connecticut
(11/23/2022)

District of Columbia
(11/23/2022)

Florida
(3/28/2022)

Georgia
(10/2/2025)

Kentucky
(9/16/2025)

Maine
(1/25/2022)

IAR

Maine
(3/31/2025)

Maryland
(11/23/2022)

Massachusetts
(1/24/2022)

New Hampshire
(1/24/2022)

New Jersey
(11/23/2022)

New York
(11/23/2022)

North Carolina
(11/23/2022)

Pennsylvania
(11/23/2022)

Rhode Island
(11/23/2022)

South Carolina
(11/23/2022)

IAR

Texas
(3/31/2025)

Vermont
(4/14/2022)

Virginia
(4/14/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/1/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/27/2009

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 6/30/2008

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

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

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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)

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 Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

Contact information

(xxx) xxx-xxxx

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Monica E. Worcester

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica E. Worcester's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

EMPOWER FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

VALMARK SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2022

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2006

Series 9

Date: 3/27/2009

Series 10

Date: 6/30/2008

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

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