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Debra Ann Underwood

Osaic Institutions, Inc.

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About Debra Ann Underwood

Debra Underwood is a financial professional with over 20 years of experience in the industry. Debra currently works at Osaic Institutions, Inc. in MERIDEN, CT. Debra's prior experience includes roles at INVEST FINANCIAL CORPORATION, GUNNALLEN FINANCIAL, INC, PERSHING LLC, INVESTMENT CENTERS OF AMERICA, INC., and INVEST FINANCIAL CORPORATION. Debra holds Series 7, Series 24, Series 63 and SIE licenses. Debra specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for individuals.

Firm Information

Debra Underwood is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Debra Underwood’s Registration & Firm History

CT

02/04/2019 - Present

Osaic Institutions, Inc. (MERIDEN CT)

WI

11/01/2010 - 04/24/2018

INVEST FINANCIAL CORPORATION (APPLETON WI)

FL

04/18/2005 - 03/29/2010

GUNNALLEN FINANCIAL, INC (TAMPA FL)

NJ

12/11/2000 - 03/10/2005

PERSHING LLC (JERSEY CITY NJ)

WI

01/12/1999 - 10/03/2000

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

WI

03/06/1998 - 10/02/2000

INVEST FINANCIAL CORPORATION (APPLETON WI)

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Licenses & Designations

BC

Issued 09/10/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/26/1998

Series 24 - General Securities Principal Examination

BC

Issued 04/24/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/03/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Debra Ann Underwood.
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