Daniel Worthington has been an investment adviser representative at Stonebridge Financial Group since June 2026, and is not listed among the firm’s executive officers or direct owners.
Stonebridge Financial Group, LLC is a San Rafael, CA firm with $896M under management, 951 clients and 12 advisers across 3 offices, as of its August 2026 filing.
Daniel Worthington’s longest registration was 14 years at Axa Advisors, LLC (2004–2018). Before joining Stonebridge Financial Group in 2026, Daniel Worthington was registered through GWN Securities Inc. and Castle Rock Wealth Management, LLC.
- Stonebridge Financial GroupCurrent– present · under a yearSan Rafael, CA · Adviser representative · Firm CRD 340200
- GWN Securities Inc.– · 6 yearsOrinda, CA · Adviser representative · Firm CRD 128929
- Castle Rock Wealth Management, LLC– · under a yearWalnut Creek, CA · Adviser representative · Firm CRD 199513
- Axa Advisors, LLC– · 14 yearsSan Francisco, CA · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Daniel Worthington is registered as an investment adviser representative in California, since June 2026.
- CaliforniaSince 25 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 22 November 2002 |
| Series 24 | General Securities Principal Examination | 30 June 1999 |
| Series 7 | General Securities Representative Examination | 18 May 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 15 October 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 July 1992 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 6 July 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 November 1983 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Daniel William Worthington
- CRD
- 1202877
- Firm
- Stonebridge Financial Group · CRD 340200
- Office
- 100 SMITH RANCH ROAD, SUITE 112, San Rafael, CA 94903
- Registration
- Investment adviser registration
- In the industry since
- March 1984
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Worthington work?
Daniel Worthington is an investment adviser representative registered through Stonebridge Financial Group, LLC since June 2026, and is not listed among the firm’s executive officers or direct owners.
Is Daniel Worthington a financial advisor?
Yes. Daniel Worthington has a current investment-adviser registration in California, through Stonebridge Financial Group since June 2026.
How many years of experience does Daniel Worthington have?
Daniel Worthington has 42 years in the financial industry, since March 1984, across 4 adviser firms.
What exams has Daniel Worthington passed?
Daniel Worthington has passed 8 licensing exams: the Series 6, Series 26, Series 63, Series 65, Series 7, Series 24, Series 53 and Series 52TO. The earliest, the Series 6, was passed in November 1983. FINRA credited Daniel Worthington with the SIE, which began in October 2018.
Where did Daniel Worthington work before Stonebridge Financial Group?
Before Stonebridge Financial Group, Daniel Worthington was registered through GWN Securities Inc., September 2019 to June 2026; Castle Rock Wealth Management, LLC, December 2018 to July 2019; Axa Advisors, LLC, March 2004 to October 2018.
Where is Daniel Worthington based?
Daniel Worthington’s registered office is in San Rafael, CA.
Is Daniel Worthington registered with FINRA?
No. Daniel Worthington has no current broker registration.
How can I verify Daniel Worthington’s record?
Search CRD 1202877 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Worthington’s full registration record.
