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Lindsey Joy Underwood

Schwab Wealth Advisory, Inc.

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About Lindsey Joy Underwood

Lindsey Underwood is a financial advisor with Schwab Wealth Advisory, Inc. with over 20 years of experience in the financial services industry. Lindsey is registered in 43 states and the District of Columbia and holds the following licenses: Series 7, Series 9, Series 10, Series 63, and Series 66. Lindsey offers a variety of financial services, including financial planning, portfolio management for individuals and businesses, and educational seminars. Lindsey specializes in retirement planning, college savings, and estate planning.

Firm Information

Lindsey Underwood is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Lindsey Underwood’s Registration & Firm History

AZ

03/12/2020 - Present

Schwab Wealth Advisory, Inc. (Phoenix AZ)

CT

01/17/2006 - 09/24/2009

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW HAVEN CT)

IA

07/12/2004 - 01/06/2006

CAMBRIDGE INVESTMENT RESEARCH, INC. (FAIRFIELD IA)

MO

01/10/2003 - 07/07/2004

EDWARD JONES (ST. LOUIS MO)

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Licenses & Designations

BOTH

Issued 09/09/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/20/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/26/2012

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/17/2011

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/09/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Lindsey Joy Underwood.
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