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RIA / WealthAdvisorCertified Financial Planner24 years in industry

GREGORY A WORCESTER

Advisor at CWM, LLC

Farmington Hills, MI | Northbrook, IL | Palatine, IL | OMAHA, NE | Valparaiso, IN

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Search this name across graphsid dfx:ria:c39116f2-9dbf-ff51-2664-4d4f5e38ce8e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 6, 2005 to Sep 15, 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: CWM, 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: Dec 21, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Dec 21, 2001
First registration: Jan 6, 2005
Dual registered: no
IAPD individual key: 4475428

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
CWM, LLC	Bd affiliated wealth	Apr 27, 2021	n/a	yes	Palatine, IL\|OMAHA, NE\|Farmington Hills, MI\|Northbrook, IL\|Valparaiso, IN	Current employment
GEM FINANCIAL ADVISORS, INC.	Former SEC adviser	Aug 1, 2013	Aug 18, 2020	no	LAKE FOREST, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 16, 2005	May 4, 2021	no	LIBERTYVILLE, IL\|MUNDELEIN, IL\|LAKE FOREST, IL\|WAUCONDA, IL	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, INC.	n/a	Jan 6, 2005	Dec 16, 2005	no	LIBERTYVILLE, IL	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
LPL FINANCIAL LLC	GEM FINANCIAL ADVISORS, INC.	May 4, 2021	Aug 1, 2013	-2,833	Firm change after gap	Other
GEM FINANCIAL ADVISORS, INC.	CWM, LLC	Aug 18, 2020	Apr 27, 2021	252	Firm change	RIA to ibd
TRANSAMERICA FINANCIAL ADVISORS, INC.	LPL FINANCIAL LLC	Dec 16, 2005	Dec 16, 2005	0	Firm change	Other

Relationships

Registered with (4)

→ CWM, LLCRegistered adviserregistration: current employment
Apr 27, 2021 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 16, 2005 to May 4, 2021factForm ADV
→ GEM FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 1, 2013 to Aug 18, 2020factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 6, 2005 to Dec 16, 2005factForm ADV

Dated events

No dated event names this entity yet.