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100 Smith Ranch Road, Suite 112, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-25 |
Branch Locations
100 Smith Ranch Road, Suite 112, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/1999 | 10/2018 |
| Castle Rock Wealth Management Llc | San Ramon | CA | 12/2018 | 09/2019 |
| Private Client Services | Walnut Creek | CA | 02/2019 | 07/2019 |
| Gwn Securities, Inc. | Palm Beach Gardens | FL | 09/2019 | 06/2026 |
| Stonebridge Financial Group, Llc | San Rafael | CA | 06/2026 | Present |
Mr. Worthington has multiple passive investment real estate properties from which he receives income. He is also on the Board of the Northeast Bay Golf Association. Little to no time is spent on these activities during market hours. Mr. Worthington also receives additional compensation for licensed insurance and annuity sales.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-29 |
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