Carol A Underwood

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → 03/2017
  Metlife Securities Inc
  San Jose, CA
• 03/2017 → 06/2024
  Securities America, Inc.
  Campbell, CA
• 03/2017 → 06/2024
  Securities America Advisors
  Campbell, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Campbell, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Campbell, CA

Previous Registrations

• 2017-03-10 → 2024-06-14
  Securities America Advisors, Inc.
  Campbell, CA
• 2015-04-15 → 2017-03-01
  Msi Financial Services, Inc.
  San Jose, CA
• 2013-05-31 → 2015-04-15
  Mml Investors Services, Llc
  San Jose, CA

Other Businesses

***INSURANCE SALES POSITION: Sales NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2017 ADDRESS: 1475 S Bascom Ave, #108, Campbell CA 95008 DESCRIPTION: Sales of insurance and FIA / FA products to clients ***CONFORTI FINANCIAL POSITION: Financial Advisor NATURE: Securities America Advisors - IAR - Investment Advisory Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2017 ADDRESS: 1475 S Bascom Avenue, #108, Campbell CA 95008 DESCRIPTION: Financial Advisor with Conforti Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-04-15
• S63 Uniform Securities Agent State Law Examination
  2010-08-09

Other Names

• Carol Underwood