Daniel William Worthington

Employer firm

Stonebridge Financial Group CRD 340200

$896M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1999 → 10/2018
  Axa Advisors, Llc
  New York, NY
• 12/2018 → 09/2019
  Castle Rock Wealth Management Llc
  San Ramon, CA
• 02/2019 → 07/2019
  Private Client Services
  Walnut Creek, CA
• 09/2019 → 06/2026
  Gwn Securities, Inc.
  Palm Beach Gardens, FL
• 06/2026 → Present
  Stonebridge Financial Group, Llc
  San Rafael, CA

Previous Registrations

• 2019-09-18 → 2026-06-03
  Gwn Securities Inc.
  Orinda, CA
  Orinda, CA
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
  Bridgewater, NJ
• 2018-12-06 → 2019-07-29
  Castle Rock Wealth Management, Llc
  Walnut Creek, CA
• 2004-03-10 → 2018-10-29
  Equitable Advisors, Llc
  San Francisco, CA
  Folsom, CA
  Monterey, CA

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-10-15
• S63 Uniform Securities Agent State Law Examination
  1992-07-29

Designations

• Chartered Financial Consultant

Other Names

• Daniel W Worthington