Jimmy E. 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.
Jimmy Eugene Underwood was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 2004. Jimmy had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2007 - December 22, 2022
PARSONEX SECURITIES, INC.
August 19, 2004 - July 25, 2007
THE LEADERS GROUP, INC.
July 14, 2004 - August 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2004 - August 25, 2004
IDS LIFE INSURANCE COMPANY
June 30, 2004 - August 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
PARSONEX SECURITIES, INC.
CRD#: 144412 / SEC#: , 8-67652
Contact information
FINRA licenses (50 States and Territories)
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.
