DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Frances Worthington
Certified Financial Planner
Feed of 09/14/2026
Also filed as Fanci Anne Worthington
At current firm
7 y
since Jun 19, 2019
In the industry
26 y
since Jan 18, 2000 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Jun 19, 2019 · Charlotte, Nc
- Foresters Advisory Services, LLC formerFeb 4, 2019 to Jun 25, 2019 · Charlotte, Nc
- Park Avenue Securities LLC BD affiliatedAug 9, 2018 to Jan 28, 2019 · Charlotte, Nc
- Esi Financial Advisors independent RIAJul 27, 2017 to Jun 18, 2018 · Charlotte, Nc
- MML Investors Services, LLC BD affiliatedAug 20, 2009 to Mar 24, 2017 · Brentwood, Tn
- Lincoln Financial Distributors, Inc. unclassifiedApr 17, 2008 to May 11, 2009 · Nashville, Tn
- Cetera Advisors LLC formerSep 15, 2006 to Apr 21, 2008 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- Foresters Advisory Services, LLC to Cetera Investment Advisers LLCleft Jun 25, 2019, registered Jun 19, 2019 (-6 days) · corporate re-registration, not a move
- Park Avenue Securities LLC to Foresters Advisory Services, LLCleft Jan 28, 2019, registered Feb 4, 2019 (7 days) · Affiliated broker-dealer or bank to another
- Esi Financial Advisors to Park Avenue Securities LLCleft Jun 18, 2018, registered Aug 9, 2018 (52 days) · Affiliated broker-dealer or bank to another
- MML Investors Services, LLC to Esi Financial Advisorsleft Mar 24, 2017, registered Jul 27, 2017 (125 days) · Other
- Lincoln Financial Distributors, Inc. to MML Investors Services, LLCleft May 11, 2009, registered Aug 20, 2009 (101 days) · Other
- Cetera Advisors LLC to Lincoln Financial Distributors, Inc.left Apr 21, 2008, registered Apr 17, 2008 (-4 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address