Bradley M. Underwood
WORLD EQUITY GROUP
Scottsdale, AZ 85258
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CRD#: 4625158
Professional summary
Bradley Martin Underwood, CFP®, who also goes by Brad Martin Underwood, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Scottsdale, Arizona.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Bradley has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Martin 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. Creative Business Resources; Yes, Investment Related; Address: 1500 Bethany Home Rd., Ste. 200, Phoenix, AZ 85014; Nature of OBA: : Provides comprehensive HR, benefits and payroll services to business as a professional employment organization (PEO) or Administrative Services Organization (ASO); Posn/Title/Relationship: Independent Contractor; Start Date: 09/01/2017; Approx No of Hrs/Mth for OBA: 1 Hr; Approx No of Hrs/Mth during trading hrs for OBA: Zero Hrs; Duties: Implementing payroll, insurance, retirement and other business related plans for business owners and their employer participants. Referral relationship with some joint revenue splits. My share of securities based revenue would be run through WEG. Client's know our DBA and WEG as needed and understand I do not directly work for CBR. 2. Sell Insurance/ Insurance Business; Yes, Investment related, Address: 277 W. Swan Dr, Chandler, AZ, 85286; Nature of OBA: Fixed and variable insurance products; Posn/Title/Relationship: Agent; Start Date: 04/02/2015; Approx No of Hrs/Mth for OBA: 80 Hrs; Approx No of Hrs/Mth during trading Hrs for OBA: 4 Hrs; Duties, Sell Fixed insurance products through multiple carrier relationships. Variable is run through WEG. 3. Winged Foot Partners, Investment Related, Started 4/2/2015, Approx 160 hrs/mo, 80 during trading hours, 7702 East Doubletree Ranch Rd., Suite 300, Scottsdale, AZ 85258, Nature: DBA was initially founded to implement non-qualified deferred comp plans using institutional insurance, but also use the name for personal and business financial planning, Position: CFP/Partner/Use DBA, Duties: Financial planning and insurance solutions distribution implementation. All security based revenue run through WEG. Fixed Ins. other than Indexed Annuities revenue direct to me, not DBA. 4. Reserve Private Wealth Consulting, LLC; Yes, investment related; Address: 7702 East Doubletree Ranch Rd., Suite 300, Scottsdale, AZ 85258; Nature of OBA: Investment advice, financial planning, and insurance implementation for individual or institutional clients; Posn/Title/Relationship: Business Owner; Start Date: 07/15/2021; Approx No of Hrs/Mth for OBA: 80 Hrs; Approx No of Hrs/Mth during trading Hrs for OBA: 80 Hrs; Investment advice, financial planning, and insurance implementation for individual or institutional clients; 5. LegalShield - Pre Paid Legal and ID Shield - Identify Protection.; Not investment related; 7702 East Doubletree Ranch Rd., Suite 300, Scottsdale, AZ 85258; Providing Pre Paid Legal Services to Individual and Business Relationships direct and through distribution partners; Independent Contractor; Start Date: 03/01/24; approximate number of hours/month: 20 Hrs; the number of hours you devote to the other business during securities trading hours: ZERO; Providing Pre Paid Legal Services to Individual and Business Relationships direct and through distribution partners. 6. One Digital / Resourcing Edge; Not investment related; Address: 1309 Ridge Road, Suite 200, Rockwall TX 75087; Nature of OBA: PEO - Payroll and Employee Benefits Provider for Business Relationships. Acquired Creative Business Resources a current OBA; Posn/Title/Relationship: Independent Contractor; Start Date: 02.29.2024; Approximate number of hours/month you devote to the other business; 20 Hrs; number of hours you devote to the other business during securities trading hours: 20 Hrs/Mth; Duties: Offer PEO - Payroll Services and Employee Benefits for Business Relationships. Similar to Creative Business Resources a current OBA.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Martin Underwood's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bradley Martin 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®
CFP®
Start date: 2009
Experience
Current
April 21, 2015 - Present
WORLD EQUITY GROUP, INC.
Office #1: 7702 East Doubletree Ranch Road Suite 300, Scottsdale, AZ 85258RIA
BD
CRD#: 29087
Scottsdale, AZ
Current
April 2, 2015 - Present
WORLD EQUITY GROUP, INC.
Office #1: 7702 East Doubletree Ranch Road Suite 300, Scottsdale, AZ 85258RIA
BD
CRD#: 29087
Scottsdale, AZ
Past
January 2, 2014 - February 10, 2015
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
May 23, 2013 - January 2, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, AZ
Past
February 4, 2013 - May 28, 2013
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
October 25, 2004 - April 14, 2005
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ST. LOUIS, MO
Past
October 22, 2004 - April 14, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 22, 2004 - April 14, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
November 18, 2003 - November 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
HARTFORD, CT
Past
November 10, 2003 - November 18, 2003
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 14, 2003 - September 22, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHESTERFIELD, MO
Past
March 17, 2003 - September 22, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 17, 2003 - September 22, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(4/21/2015)
IAR
Arizona(4/21/2015)
IAR
California(4/15/2025)
RR
Illinois(3/2/2016)
IAR
Indiana(12/3/2020)
IAR
Missouri(9/9/2016)
IAR
New Jersey(9/11/2020)
RR
New Jersey(9/14/2023)
RR
Ohio(9/3/2024)
IAR
Texas(6/11/2020)
IAR
Wisconsin(2/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
