AH
Albert V. Haworth
INTERCAROLINA FINANCIAL SERVICES
Greensboro, NC 27410-2447
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CRD#: 860210
AH
Professional summary
Albert Victor Haworth III, who also goes by Al Haworth III, Albert VIctor Haworth, is a registered financial professional currently at INTERCAROLINA FINANCIAL SERVICES, INC. located in Greensboro, North Carolina.
Albert is registered as a RR (Registered Representative) and started their career in finance in 1978. Albert has worked at 32 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Al Haworth Iii | Albert Victor Haworth
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.
Haworth Advisory Services, LLC, 9960 Cheyenne Blvd. Suite 110, Las Vegas, NV 89129, Real Estate Consulting, Non-Investment Related, Managing Principal, 2 hours per month, compensated by consulting fees. Botanicals of Hawaii, LLC. 116 Hualalai St #201B, Hilo, HI 96720, Botanical Oil Extraction Manufacturing Facility, Non-Investment Related, Managing Principal, 2 hours per week, compensated via distribution of profits. Stratus Finance, LLC. provides mezzanine financing for students, Board Member and Principal, Investment Related, 2 hours per week, compensated quarterly by distribution of profits. Real Property Heath, LLC, 9960 Cheyenne Blvd. Suite 110, Las Vegas, NV 89129, owns and operates 12 skilled nursing facilities/senior assisted living centers, CEO, spends 15 hours per week, compensated via salary plus bonus.
CRS (Client Relationship Summary) - BD
Click below to view Albert Victor Haworth III'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®
NoneExperience
Current
July 29, 2025 - Present
INTERCAROLINA FINANCIAL SERVICES, INC.
Office #1: 3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447RIA
BD
CRD#: 19475
Greensboro, NC
Past
August 24, 2022 - December 31, 2024
ZERMATT WEALTH PARTNERS
RIA
CRD#: 105736
Atlanta, GA
Past
December 6, 2021 - October 31, 2022
ZERMATT SECURITIES LLC
BD
CRD#: 47502
CHARLOTTE, NC
Past
November 2, 2018 - November 20, 2019
WAYPOINT DIRECT INVESTMENTS, LLC
BD
CRD#: 132475
Atlanta, GA
Past
August 1, 2017 - November 16, 2018
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
Atlanta, GA
Past
February 2, 2015 - July 17, 2018
PREFERRED CAPITAL SECURITIES, LLC
BD
CRD#: 169719
ATLANTA, GA
Past
January 22, 2014 - August 3, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ATLANTA, GA
Past
January 21, 2014 - August 3, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ATLANTA, GA
Past
August 31, 2010 - February 2, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
HUNTINGTON BEACH, CA
Past
December 18, 2009 - September 2, 2010
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
HUNTINGTON BEACH, CA
Past
August 15, 2007 - June 30, 2009
RMC CAPITAL MARKETS GROUP, INC
BD
CRD#: 139643
DALLAS, TX
Past
December 20, 2006 - March 14, 2007
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
February 10, 2005 - December 31, 2006
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 22, 2004 - May 10, 2005
KBS CAPITAL MARKETS GROUP LLC
BD
CRD#: 132299
NEWPORT BEACH, CA
Past
January 4, 2002 - December 5, 2003
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
August 9, 2000 - November 30, 2001
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
January 31, 1997 - August 8, 2000
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
April 19, 1996 - August 1, 1996
LONDON PACIFIC FINANCIAL & INSURANCE SERVICES
BD
CRD#: 37501
SACRAMENTO, CA
Past
December 1, 1994 - December 4, 1995
SAN CLEMENTE SECURITIES, INC.
BD
CRD#: 21895
SAN CLEMENTE, CA
Past
December 14, 1993 - September 13, 1994
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
June 30, 1992 - October 6, 1993
GT GLOBAL, INC.
BD
CRD#: 19587
SAN FRANCISCO, CA
Past
July 25, 1991 - July 9, 1992
NSR DISTRIBUTORS, INC.
BD
CRD#: 20271
ENFIELD, CT
Past
April 23, 1990 - October 10, 1990
LEPERCQ EQUITY CORP.
BD
CRD#: 15589
Past
July 28, 1989 - April 3, 1990
AGS SECURITIES CORPORATION
BD
CRD#: 10382
SAN MATEO, CA
Past
August 7, 1987 - June 7, 1989
PSI SECURITIES CORPORATION
BD
CRD#: 10322
GLENDALE, CA
Past
May 4, 1987 - June 29, 1987
QUEST SECURITIES, INC.
BD
CRD#: 6828
Past
October 11, 1985 - January 16, 1987
KING CAPITAL CORPORATION
BD
CRD#: 10388
Past
March 19, 1985 - August 5, 1985
SYNDEX SECURITIES CORPORATION
BD
CRD#: 15099
Past
September 21, 1984 - October 16, 1984
EQUITEC SECURITIES COMPANY
BD
CRD#: 6463
Past
April 3, 1980 - October 2, 1984
QUEST SECURITIES, INC.
BD
CRD#: 6828
Past
June 4, 1979 - April 21, 1980
EQUITEC SECURITIES COMPANY
BD
CRD#: 6463
Past
December 1, 1978 - June 1, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
December 1, 1978 - June 1, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
December 1, 1978 - June 1, 1979
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/21/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3300 Battleground Avenue Suite 202 Suite 202, Greensboro, NC 27410
Mailing Address
3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447
Phone number
(336) 288-6890
Established
North Carolina since 09/17/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (12 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 130,750,464 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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
INTERCAROLINA FINANCIAL SERVICES, INC.
CRD#: 19475Greensboro, NC 27410-2447TRUST BUT VERIFY
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