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SU

Sasha L. Underwood

LINCOLN FINANCIAL DISTRIBUTORS
Radnor, PA 19087
Some features on this profile are disabled
CRD#: 3150524
SU

Professional summary

Sasha Lorraine Underwood is a registered financial professional currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Radnor, Pennsylvania.

Sasha is registered as a RR (Registered Representative) and started their career in finance in 1999. Sasha has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sasha Lorraine 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®
None

Experience

Current

November 12, 2014 - Present

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Office #1: 130 N Radnor-chester Rd, Radnor, PA 19087
BD
CRD#: 145
Radnor, PA
Past

October 31, 2012 - November 21, 2014

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

October 19, 2009 - October 12, 2012

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

April 16, 2009 - July 27, 2009

OLD MUTUAL CAPITAL

RIA
CRD#: 131405
DENVER, CO
Past

May 12, 2005 - July 27, 2009

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
DENVER, CO
Past

July 8, 2003 - April 4, 2005

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
DENVER, CO
Past

October 3, 2002 - April 4, 2005

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

May 16, 2001 - September 6, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
DENVER, CO
Past

May 10, 2001 - September 6, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 15, 2000 - May 1, 2001

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

February 3, 1999 - May 8, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Colorado
(11/12/2014)
RR
Montana
(10/2/2020)
RR
Utah
(11/12/2014)
RR
Wyoming
(11/12/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/15/2009
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/24/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/7/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LINCOLN FINANCIAL DISTRIBUTORS, INC.
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CG EQUITY SALES COMPANY | SAGEMARK CONSULTING, INC. | LINCOLN FINANCIAL DISTRIBUTORS, INC. | CIGNA SECURITIES, INC. | CIGNA FINANCIAL ADVISORS,INC.

CRD#: 145 / SEC#: , 8-13431

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
130 N Radnor-chester Rd, Radnor, PA 19087
Mailing Address
130 N Radnor-chester Rd, Radnor, PA 19087
Phone number
(484) 583-6000
Established
Connecticut since 08/03/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE LINCOLN NATIONAL LIFE INSURANCE COMPANYSHAREHOLDER
CHRYSSIKOS, PAUL TELEMACSENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER7263748
FALLER, DANIEL TSENIOR VICE PRESIDENT, HEAD OF LFD FINANCE6006570
GIBSON, JASON MICHAELVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION3081880
KENNEDY, JOHN CHRISTOPHERPRESIDENT AND CHIEF EXECUTIVE OFFICER2213083
NEPA, JARED M.SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION5157819
OMORUYI, MEGAN VOGTAVP, FINANCIAL AND OPERATIONS PRINCIPAL7803022
SEIFERT, TIMOTHY JOHNSENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION1577571
SMITH, NANCYSECRETARY6140078

Disclosures

Regulatory Event3

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.

Company Information

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145Radnor, PA 19087

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