Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Stone Underberg is a financial advisor with over 27 years of experience in the industry. Brett is currently registered with Wells Fargo Clearing Services, LLC, in Iowa, Florida, and Texas. Previously, Brett was registered with LPL Financial LLC in Iowa. Brett has a wide range of experience working with clients, including high-net-worth individuals, corporations, and charitable organizations. Brett specializes in providing financial planning, portfolio management, and investment consulting services to individuals, families, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IA
07/29/2022 - Present
Wells Fargo Clearing Services, LLC (FORT DODGE IA)
IA
12/18/2012 - 06/03/2022
LPL FINANCIAL LLC (WEST DES MOINES IA)
IA
01/03/2011 - 12/18/2012
WELLS FARGO ADVISORS, LLC (PERRY IA)
IA
02/29/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (JOHNSTON IA)
IA
05/26/2006 - 03/04/2008
SII INVESTMENTS, INC. (CLIVE IA)
IA
04/18/2006 - 05/26/2006
EDWARD JONES (GRUNDY CENTER IA)
IA
05/28/2004 - 04/24/2006
SII INVESTMENTS, INC. (CLIVE IA)
MO
05/26/2004 - 06/01/2004
EDWARD JONES (ST. LOUIS MO)
WI
01/22/2004 - 05/26/2004
SII INVESTMENTS, INC. (APPLETON WI)
GA
05/10/2000 - 01/23/2004
FSC SECURITIES CORPORATION (ATLANTA GA)
MO
08/29/1996 - 05/15/2000
FFP SECURITIES, INC. (CHESTERFIELD MO)
KS
05/03/1995 - 08/29/1996
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
BOTH
Issued 06/07/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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