David S. Underhill

UNDERHILL INVESTMENTS

Berkley, MI 48072-3001

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CRD#: 5772880

Professional summary

David Stuart Underhill, who also goes by Dave Underhill, David Underhill, is a registered financial advisor currently at UNDERHILL INVESTMENTS, LLC located in Berkley, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. David has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Underhill | David Underhill

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)BERKLEY, MI, 48072. INSURANCE AGENT OFFERING FIXED ANNUITIES, LIFE, AND LONG TERM CARE. INVESTMENT RELATED. APPROXIMATELY 240 HOURS PER MONTH, OF WHICH 32 HOURS ARE DURING SECURITIES TRADING HOURS. 2)ATTORNEY-ESTATE PLANNING, APPROXIMATELY 15 HOURS PER MONTH, OF WHICH 10 HOURS ARE DURING SECURITIES TRADING HOURS. 3)David S. Underhill Limited Partnership #1; Non-Investment Related; Berkley, MI; 05/1998; Less than an hour per month is spent on this activity. 4) David S. Underhill Limited Partnership #2; Non-Investment Related; Berkley, MI; 05/1998; Less than an hour per month is spent on this activity. 5) David S. Underhill Limited Partnership #3; Non-Investment Related; Berkley, MI; 05/1998; Less than an hour per month is spent on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Stuart Underhill'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

January 15, 2013 - Present

UNDERHILL INVESTMENTS, LLC

Office #1: 1894 W. Eleven Mile Road, Berkley, MI 48072-3001

RIA

CRD#: 165543

Berkley, MI

Past

February 4, 2011 - May 24, 2012

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MINNEAPOLIS, MN

Past

September 10, 2010 - May 24, 2012

QUESTAR CAPITAL CORPORATION

CRD#: 43100

BERKLEY, MI

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(1/15/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/2010

General Securities Representative Examination

Current Firm

UNDERHILL INVESTMENTS, LLC

CRD#: 165543 / SEC#:

Arizona

Registered Investment Advisory firm - (9/30/2016 Terminated)

Michigan

Registered Investment Advisory firm - (1/11/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1894 W. Eleven Mile Road, Berkley, MI 48072-3001

Mailing Address

Phone number

(248) 548-2918

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 4,900,000

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.

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David S. Underhill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Stuart Underhill's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNDERHILL INVESTMENTS, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2010

Series 7

Date: 9/8/2010

Current Firm

UNDERHILL INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UNDERHILL INVESTMENTS, LLC

TRUST BUT VERIFY

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