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MONICA EVE WORCESTER
MONICA E KNIGHT, MONICA EVE KNIGHT, MONICA EVE WETHERINGTON, MONICA EVE-HASSAPELIS WORCESTER, Monica E Worcester
CRD#: 5217370
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 THREE CANAL PLAZA
PORTLAND, ME 04112
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 THREE CANAL PLAZA
PORTLAND, ME 04112
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)2 FIRMS2013 - 2014 (1 year)2 FIRMS2022 - Present (2 years)BGWFS EQUITIES, INC. (CRD# 13109)2014 - 2021 (7 years)BVALMARK SECURITIES, INC. (CRD# 31243)2010 - 2013 (3 years)BMCDONALD INVESTMENTS INC. (CRD# 566)2006 - 2007 (<1 year)IAMCDONALD INVESTMENTS INC. (CRD# 566)2007 - 2007 (<1 year)
Disclosure(s)
View By:
11/16/2024
Financial
Pending
4/19/2024
Financial
Pending
2/22/2024
Financial
Pending
2/15/2024
Financial
Pending
11/16/2023
Financial
Final
License(s)

State Registrations

B
Arizona 4/28/2022

B
New Hampshire 1/24/2022

B
California 4/14/2022

B
New Jersey 11/23/2022

B
Colorado 11/23/2022

B
New York 11/23/2022

B
Connecticut 11/23/2022

B
North Carolina 11/23/2022

B
District of Columbia 11/23/2022

B
Pennsylvania 11/23/2022

B
Florida 3/28/2022

B
Rhode Island 11/23/2022

B
Maine 1/25/2022

B
South Carolina 11/23/2022

IA
Maine 8/16/2022

IA
Texas 3/4/2024

B
Maryland 11/23/2022

B
Vermont 4/14/2022

B
Massachusetts 1/24/2022

B
Virginia 4/14/2022

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
THREE CANAL PLAZA, PORTLAND, ME 04112
Registered with this firm since 8/16/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
THREE CANAL PLAZA, PORTLAND, ME 04112
PITTSTON, ME
Registered with this firm since 1/24/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/17/2014 - 12/14/2021 GWFS EQUITIES, INC. (CRD#:13109) GREENWOOD VILLAGE, CO
IA
05/28/2013 - 07/15/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) PORTLAND, ME
B
04/24/2013 - 07/15/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) PORTLAND, ME
B
02/05/2010 - 04/25/2013 VALMARK SECURITIES, INC. (CRD#:31243) FALMOUTH, ME
IA
02/09/2007 - 02/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) PORTLAND, ME
B
02/09/2007 - 02/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) PORTLAND, ME
IA
01/17/2007 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) PORTLAND, ME
B
11/21/2006 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) PORTLAND, ME
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.