Jacob Wharton

WORCESTER ADVISORS

Worcester, MA 01608

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CRD#: 7678183

Professional summary

Jacob Wharton is a registered financial advisor currently at WORCESTER ADVISORS located in Worcester, Massachusetts.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Jacob has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Jacob Wharton'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®

None

Experience

Current

July 28, 2025 - Present

WORCESTER ADVISORS

Office #1: 446 Main St, Worcester, MA 01608

RIA

CRD#: 106653

Worcester, MA

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

Florida
(7/28/2025)

IAR

Massachusetts
(8/19/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/2025

Uniform Investment Adviser Law Examination

Current Firm

WORCESTER ADVISORS

WORCESTER ADVISORS | WORCESTER COUNTY FIDUCIARY ADVISORS INC

CRD#: 106653 / SEC#: 801-47521

RIA

Registered Investment Advisory firm - (5/16/2012 Terminated)

Florida

Registered Investment Advisory firm - (5/4/2012 Approved)

Massachusetts

Registered Investment Advisory firm - (3/20/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

446 Main Street, Worcester, MA 01608-2421

Mailing Address

Phone number

(508) 753-7300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	218
AUM (Assets Under Management)	$ 111,094,398

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
10/23/2023	Cover Page	Report
10/27/2022	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.

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Jacob Wharton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Wharton's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORCESTER ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2025

Current Firm

WORCESTER ADVISORS

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WORCESTER ADVISORS

TRUST BUT VERIFY

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