James D. Underwood

ASPEN CREEK WEALTH MANAGEMENT

Pompano Beach, FL

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CRD#: 2462628

Professional summary

James Dennis Underwood, who also goes by Jim Underwood, is a registered financial advisor currently at ASPEN CREEK WEALTH MANAGEMENT, LLC located in Pompano Beach, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 12 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Underwood

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) J.D. UNDERWOOD INSURANCE STRATEGIES, INC.�, Title: PRESIDENT/INDEPENDENT INSURANCE AGENT�, Description: MARKETING AND SALES OF INSURANCE AND 403B PRODUCTS., Start Date: 02-01-2002, Address: 59 MISTY FALLS DR. ORMOND BEACH FL 32174, Investment-related? NO, Hours per month: 30, During trading hours: 60% OF TIME (2) STRYDE SOLUTIONS, LLC, Title: INDEPENDENT REP, Description: MARKETING PROSPECTING; PROVIDING EXPENSE REDUCTION SERVICES�, Start Date: 05-01-2018, Address: 15173 NORTH RD, FENTON, MI 48430, Investment-related? NO, Hours per month: 10-15HRS/WK, During trading hours: 10-15HRS/WK (3) ELITE MARKETING, INC, Title: INDEPENDENT REPRESENTATIVE�, Description: SELLS VOLUNTARY BENEFITS TO BUSINESSES AND THEIR EMPLOYEES, Start Date: 06-01-2018, Address: ORMOND BEACH, FL, Investment-related? NO, Hours per month: 10, During trading hours: 10 (4) LEGACYLOCK, LLC�, Title: ESTATE PLAN CORRDINATOR�, Description: MARKETING FOR CLIENTS, THEN ASSISTING CLIENTS WITH THEIR ONLINE ESTATE PLAN DOCUMENTS., Start Date: 10-04-2021, Address: 1234 S POWER RD, SUITE 101 MESA AZ 85206�, Investment-related? NO, Hours per month: APPROX. 50-75%, During trading hours: APPROX. 50-75%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dennis Underwood's CRS (Customer Relationship Summary).

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 6/8/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASPEN CREEK WEALTH MANAGEMENT, LLC

ASPEN CREEK WEALTH MANAGEMENT, LLC | TYLER WEALTH MANAGEMENT, LLC | TYLER WEALTH MANAGEMENT

CRD#: 160649 / SEC#:

California

Registered Investment Advisory firm - (2/3/2021 Approved)

Colorado

Registered Investment Advisory firm - (6/28/2018 Approved)

Florida

Registered Investment Advisory firm - (6/23/2025 Approved)

Idaho

Registered Investment Advisory firm - (2/16/2021 Approved)

Louisiana

Registered Investment Advisory firm - (11/24/2020 Terminated)

Montana

Registered Investment Advisory firm - (12/16/2022 Approved)

New Jersey

Registered Investment Advisory firm - (5/16/2023 Approved)

Oklahoma

Registered Investment Advisory firm - (5/17/2021 Approved)

Texas

Registered Investment Advisory firm - (5/15/2012 Approved)

Virginia

Registered Investment Advisory firm - (8/18/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

950 E State Highway 114 Ste. 160, Southlake, TX 76092

Mailing Address

Phone number

(817) 400-9905

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 12,591,705

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James D. Underwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dennis Underwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIRTUE CAPITAL MANAGEMENT, LLC

ROYAL FUND MANAGEMENT, LLC

AMERICAN ELITE RETIREMENT

BROOKSTONE CAPITAL MANAGEMENT LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

INDUSTRY SAVINGS PLANS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

VALIC FINANCIAL ADVISORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/2004

Series 6

Date: 6/8/1999

Current Firm

ASPEN CREEK WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASPEN CREEK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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