RU
Robert L. Underwood
FORESIDE FUND SERVICES
San Juan, PR 00901
Some features on this profile are disabled
CRD#: 2759321
RU
Professional summary
Robert Lee Underwood, who also goes by Robert Lee Underwood III, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in San Juan, .
Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert Lee Underwood Iii
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Lee Underwood's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 5, 2017 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 53 Calle Palmeras Suite 601, San Juan, PR 00901BD
CRD#: 46106
San Juan, PR
Past
March 30, 2011 - November 9, 2017
BTIG, LLC
BD
CRD#: 122225
NASHVILLE, TN
Past
December 21, 2005 - April 8, 2009
INTER SECURITIES LTD.
BD
CRD#: 40733
BURLINGAME, CA
Past
August 4, 2003 - January 9, 2004
CAPROCK SERVICES, LTD.
BD
CRD#: 47899
SAN FRANCISCO, CA
Past
May 22, 2000 - June 11, 2003
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
October 1, 1997 - May 15, 2000
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
December 20, 1996 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2018)
RR
Alaska(1/2/2018)
RR
Arizona(1/2/2018)
RR
Arkansas(1/2/2018)
RR
California(12/5/2017)
RR
Colorado(1/2/2018)
RR
Connecticut(1/2/2018)
RR
Delaware(1/2/2018)
RR
District of Columbia(1/2/2018)
RR
Florida(12/5/2017)
RR
Georgia(1/2/2018)
RR
Hawaii(12/5/2017)
RR
Idaho(1/2/2018)
RR
Illinois(1/2/2018)
RR
Indiana(1/2/2018)
RR
Iowa(1/2/2018)
RR
Kansas(1/2/2018)
RR
Kentucky(1/2/2018)
RR
Louisiana(1/2/2018)
RR
Maine(1/2/2018)
RR
Maryland(1/2/2018)
RR
Massachusetts(1/2/2018)
RR
Michigan(1/2/2018)
RR
Minnesota(1/2/2018)
RR
Mississippi(1/2/2018)
RR
Missouri(1/2/2018)
RR
Montana(1/2/2018)
RR
Nebraska(1/2/2018)
RR
Nevada(1/2/2018)
RR
New Hampshire(1/2/2018)
RR
New Jersey(1/2/2018)
RR
New Mexico(1/2/2018)
RR
New York(1/2/2018)
RR
North Carolina(1/2/2018)
RR
North Dakota(1/2/2018)
RR
Ohio(1/2/2018)
RR
Oklahoma(1/2/2018)
RR
Oregon(1/2/2018)
RR
Pennsylvania(1/2/2018)
RR
Puerto Rico(1/2/2018)
RR
Rhode Island(1/2/2018)
RR
South Carolina(1/2/2018)
RR
South Dakota(1/2/2018)
RR
Tennessee(1/2/2018)
RR
Texas(1/2/2018)
RR
Utah(1/2/2018)
RR
Vermont(1/2/2018)
RR
Virgin Islands(1/2/2018)
RR
Virginia(1/2/2018)
RR
Washington(12/5/2017)
RR
West Virginia(1/2/2018)
RR
Wisconsin(1/2/2018)
RR
Wyoming(1/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
