Donald C. Underwood
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Curtis Underwood was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1973. Donald had worked at 10 firms and has passed the Series 65, Series 63, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 1996 - January 13, 2003
BIRKELBACH INVESTMENT SECURITIES, INC.
June 11, 1991 - September 23, 1996
CIBC WORLD MARKETS CORP.
May 19, 1988 - June 3, 1991
HAMILTON INVESTMENTS, INC.
April 15, 1985 - May 17, 1988
TUCKER ANTHONY INCORPORATED
March 7, 1984 - February 19, 1985
ROONEY, PACE INC.
September 26, 1983 - March 2, 1984
J. DAVID SECURITIES, INC.
January 29, 1982 - September 21, 1983
BECKER PARIBAS INCORPORATED
May 5, 1978 - April 19, 1982
CIBC WORLD MARKETS CORP.
November 17, 1976 - July 2, 1978
SHEARSON HAYDEN STONE INC.
February 4, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
March 16, 1973 - April 2, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 6/8/1977
AMEX Put and Call ExamSeries 1
Date: 3/12/1973
Registered Representative ExaminationCurrent Firm
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
