Steve
Worthy

Royal Alliance Associates, Inc

CRD#706940
Investment Advisor
in Charlotte, NC
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About this Advisor

Steve Worthy is a certified financial planner and chartered financial consultant in Charlotte, North Carolina. Currently a registered investment advisor at Royal Alliance Associates, Inc, Worthy has a notable 38 years of practice in the financial advisory industry. Worthy maintains Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative. Worthy is registered to work with clients based out of North Carolina and South Carolina. Throughout their career, they have worked at Royal Alliance Associates, Inc, Signator Investors, Inc and Maxworth Consulting Group, LLC. Royal Alliance Associates, Inc is based out of Charlotte, North Carolina, and has 459 additional locations across the country. In aggregate, Royal Alliance Associates, Inc oversees $8 billion in assets dispersed across 30,657 accounts and employs more than 1,933 people. The level of assets currently under the firm's management makes it one of the biggest investment advisory firms in the country. The firm manages 16,603 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 13% of the firm's clients are high-net-worth individuals, meaning they have greater than $1 million in assets. Royal Alliance Associates, Inc can provide financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. The firm's fees may include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner, Chartered Financial Consultant

Years of Experience

38 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

10800 Sikes Place Suite 205
Charlotte, NC 28277

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Royal Alliance Associates, Inc Brokerage Details

Total Assets Under Management

$7,615,432,719

NC Average: $10,121,009,343
Total Number of Employees

1,933

NC Average: 92
Total Number of Accounts

30,657

NC Average: 6,978
Average Account Size

$248,408

NC Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Steve Worthy Work History

Steve has 38 years of experience.

2018 - Present (1 years)

Royal Alliance Associates, Inc

2006 - Present (13 years)

Maxworth Consulting Group, LLC

1980 - Present (39 years)

Signator Investors, Inc

Disclosures

Steve Worthy has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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