Carol
Underwood

Securities America Advisors, Inc

CRD#5800059
Investment Advisor
in Campbell, CA

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About this Advisor

Carol Underwood is a financial advisor based in Campbell, California, who has been in the financial industry for 10 years. Underwood is currently employed by Securities America Advisors, Inc. Over the course of their career, Underwood has held roles at World Group Securities, Inc, World Financial Group, Debtmerica LLC, Transamerica Financial Advisors, Inc, Mml Investors Services LLC, Massmutual Life Insurance Company, Metlife Securities Inc, Securities America Advisors and Securities America, Inc. Underwood maintains Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is able to operate in California. Securities America Advisors, Inc is a business that has its headquarters in Campbell, California. The firm has offices in 1,285 locations and a total of 1,992 financial advisors. It handles $22 billion in assets under management across its 154,747 client accounts, placing it among the largest financial advisory firms in the country by assets under management. The firm serves 59 charitable organizations. Of its 154,747 customer accounts, 15% are associated with high-net-worth individuals who have at least $1 million in assets. Securities America Advisors, Inc has a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters and educational seminars. A financial advisor's fee schedules typically depend on the type of financial services provided. However, fees charged by Securities America Advisors, Inc may include some blend of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

11 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, Publication of periodicals or newsletters, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

No

Office Location

1475 S Bascom Avenue #108
Campbell, CA 95008

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Securities America Advisors, Inc Brokerage Details

Total Assets Under Management

$21,887,351,786

CA Average: $1,978,216,465
Total Number of Employees

1,992

CA Average: 226
Total Number of Accounts

154,747

CA Average: 7,467
Average Account Size

$141,440

CA Average: $264,928

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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
  • Publication of periodicals or newsletters
  • Educational seminars/workshops

Carol Underwood Work History

Carol has 11 years of experience.

2017 - Present (3 years)

Securities America Advisors

2017 - Present (3 years)

Securities America, Inc

2015 - 2017 (2 years)

Metlife Securities Inc

2012 - 2012 (< 1 year)

Transamerica Financial Advisors, Inc

2012 - 2015 (3 years)

Mml Investors Services LLC

2012 - 2015 (3 years)

Massmutual Life Insurance Company

2011 - 2012 (1 year)

Debtmerica LLC

2010 - 2012 (2 years)

World Group Securities, Inc

2009 - 2012 (3 years)

World Financial Group

Disclosures

Carol Underwood has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Securities America Advisors, Inc

Ronald Hyde
Vancouver, WA
Steven Hart
Littleton, CO
Aaron Schmitz
Jefferson City, MO
Robert Jamison
Redlands, CA
Daniel Vansingel
Caledonia, MI
Tom Mcdermott
La Vista, NE
Kyle Witman
Rochester, NY
Michael Bobowski
Charlotte, NC

This content was compiled from the SEC and FINRA.

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