Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Underwood is a financial advisor registered with Fidelity Personal And Workplace Advisors. Stephen has been in the financial industry since 1998 and has experience in securities and investment advisory services. Stephen is registered with the state of Texas and has a Series 7, Series 9, Series 10, Series 31 and Series 63 license and is also a Certified Financial Planner. Stephen previously worked for Fidelity Brokerage Services LLC and Dean Witter Reynolds Inc.
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.
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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2
TX
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (HOUSTON TX)
TX
06/29/1999 - 05/06/2014
FIDELITY BROKERAGE SERVICES LLC (HOUSTON TX)
NY
05/26/1998 - 02/12/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/26/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/02/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 05/22/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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