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

Monica E. Worcester

LPL Financial LLCBD affiliatedPortland, Me dual registrantIAPD 5217370

Feed of 09/14/2026

Also filed as Monica Eve Hassapelis

At current firm

0 y

since Aug 13, 2026

In the industry

19 y

since Jan 17, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Aug 13, 2026 · Portland, Me
Osaic Wealth, Inc. BD affiliated
Apr 9, 2026 to Aug 14, 2026 · Portland, Me
Strategic Advisers LLC national BD
Mar 31, 2025 to Mar 26, 2026 · Portland, Me
Fidelity Personal And Workplace Advisors former
Aug 16, 2022 to Mar 31, 2025 · Portland, Me
UBS Financial Services Inc. wirehouse
May 28, 2013 to Jul 15, 2014 · Portland, Me
UBS Financial Services Inc. wirehouse
Feb 9, 2007 to Feb 8, 2010 · Portland, Me
Keybanc Capital Markets Inc. unclassified
Jan 17, 2007 to Feb 9, 2007 · Portland, Me

Moves

a registration end followed by a registration begin elsewhere

Osaic Wealth, Inc. to LPL Financial LLC
left Aug 14, 2026, registered Aug 13, 2026 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
Strategic Advisers LLC to Osaic Wealth, Inc.
left Mar 26, 2026, registered Apr 9, 2026 (14 days) · Affiliated broker-dealer or bank to another · moved with a team
Fidelity Personal And Workplace Advisors to Strategic Advisers LLC
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
UBS Financial Services Inc. to Fidelity Personal And Workplace Advisors
left Jul 15, 2014, registered Aug 16, 2022 (2954 days) · Wirehouse to affiliated broker-dealer or bank
Keybanc Capital Markets Inc. to UBS Financial Services Inc.
left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move

Signals

Monica E. Worcester left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-13)
Aug 14, 2026 · Advisor changed firm · fact
Monica E. Worcester left Strategic Advisers Llc for Osaic Wealth, Inc. (registered 2026-04-09)
Mar 26, 2026 · Advisor changed firm · fact

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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address