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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

MONICA E. WORCESTER

Advisor at LPL FINANCIAL LLC

Portland, ME | PORTLAND, ME | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:86341df2-f4b4-94cb-e70d-7ab92fb5bc13

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jan 17, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 17, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 1, 2022
First registration: Jan 17, 2007
Dual registered: yes, broker-dealer
Other names: MONICA EVE HASSAPELIS|MONICA EVE-HASSAPELIS WORCESTER|MONICA E KNIGHT|MONICA EVE KNIGHT|MONICA EVE WORCESTER|Monica E WORCESTER
IAPD individual key: 5217370

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 13, 2026	n/a	yes	Portland, ME\|SAN DIEGO, CA\|PORTLAND, ME	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Apr 9, 2026	Aug 14, 2026	no	PORTLAND, ME	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Mar 26, 2026	no	PORTLAND, ME\|PITTSTON, ME\|PORTLAND, ME\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Aug 16, 2022	Mar 31, 2025	no	PORTLAND, ME	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 28, 2013	Jul 15, 2014	no	PORTLAND, ME	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2007	Feb 8, 2010	no	PORTLAND, ME\|PORTLAND, ME	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Jan 17, 2007	Feb 9, 2007	no	PORTLAND, ME	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Aug 14, 2026	Aug 13, 2026	-1	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	OSAIC WEALTH, INC.	Mar 26, 2026	Apr 9, 2026	14	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 15, 2014	Aug 16, 2022	2,954	Firm change after gap	Wirehouse to ibd
KEYBANC CAPITAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 9, 2007	Feb 9, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
23131:6413:ME:2026-08-14	Aug 14, 2026	Aug 13, 2026	PORTLAND, ME	Firm change
104555:23131:MA:2026-03-05	Mar 26, 2026	Apr 9, 2026	BOSTON, MA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Apr 9, 2026 to Aug 14, 2026factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Mar 26, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Aug 16, 2022 to Mar 31, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 28, 2013 to Jul 15, 2014factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Jan 17, 2007 to Feb 9, 2007factForm ADV

Dated events

Occurred
Aug 14, 2026
Advisor changed firm
Monica E. Worcester left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-13)
Form ADVobserved 5 days ago
Occurred
Mar 26, 2026
Advisor changed firm
Monica E. Worcester left Strategic Advisers Llc for Osaic Wealth, Inc. (registered 2026-04-09)
Form ADVobserved 5 days ago