Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Underwood is a financial advisor with over 13 years of experience in the industry. Carol is currently registered with Osaic Wealth, Inc. in Campbell, CA. Carol is a Series 6, 7, 63 and 65 licensed advisor. Previously, Carol was also registered with Securities America, Inc., MSI Financial Services, Inc., MML Investors Services, LLC, Transamerica Financial Advisors, Inc and World Group Securities, Inc. Carol provides a range of financial planning, portfolio management, and advisory services to individuals, businesses, and organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
06/14/2024 - Present
Osaic Wealth, Inc. (CAMPBELL CA)
CA
03/10/2017 - 06/14/2024
SECURITIES AMERICA, INC. (CAMPBELL CA)
CA
04/15/2015 - 03/01/2017
MSI FINANCIAL SERVICES, INC. (SAN JOSE CA)
CA
08/16/2012 - 04/15/2015
MML INVESTORS SERVICES, LLC (SAN JOSE CA)
CA
01/06/2012 - 08/01/2012
TRANSAMERICA FINANCIAL ADVISORS, INC (SAN JOSE CA)
CA
07/27/2010 - 01/06/2012
WORLD GROUP SECURITIES, INC. (SAN JOSE CA)
IA
Issued 04/15/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2016
Series 7 - General Securities Representative Examination
BC
Issued 07/26/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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