KU
Kevin H. Underwood
CETERA INVESTMENT ADVISERS LLC
GAINESVILLE, VA 20155
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CRD#: 4801121
KU
Professional summary
Kevin Heath Underwood, who also goes by Kevin H Underwood, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gainesville, Virginia and CETERA WEALTH SERVICES, LLC located in Gainesville, Virginia.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin H 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) Badger Sumrall & Co, CPAs~7410 Heritage Village Plaza~Gainesville~VA~20155~Accounting Services/Tax Preparation~Employee~2/7/2017~30hrs~12hrs~I provide assistance with tax preparation and planning.| 2) Health Insurance~5166 Jackson Court~Warrenton~VA~20187~Independent Insurance Agent~Insurance Sales Agent~1/1/2008~8hrs~8hrs~Health Insurance| 3) HARVEST FINANCIAL CPA'S, PLC POSITION: Owner NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2005 5166 Jackson Court, Warrenton VA 20187; included in intitial reg...CPA Tax Preparation 4) TWAIN PROPERTIES LLC POSITION: Partner/General Partner NATURE: Rental Property Owner/Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017; 530 Elizabeth Place, Unit 1, Portsmouth VA 23704; Accounting
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Heath 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7410 Heritage Village Plaza, Gainesville, VA 20155RIA
CRD#: 105644
GAINESVILLE, VA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7410 Heritage Village Plaza, Gainesville, VA 20155BD
CRD#: 13572
Gainesville, VA
Past
July 28, 2008 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Gainesville, VA
Past
June 27, 2008 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Gainesville, VA
Past
July 14, 2004 - July 3, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
WARRENTON, VA
Past
June 15, 2004 - July 3, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
WARRENTON, VA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
California(9/5/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Maryland(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Virginia(9/5/2025)
IAR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Gainesville, VA 20155TRUST BUT VERIFY
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