Thomas B. Underwood

BRIGHT WEALTH MANAGEMENT

Ashland, VA

Some features on this profile are disabled

CRD#: 6006367

Professional summary

Thomas B Underwood III, CFP®, who also goes by Thomas Underwood, is a registered financial advisor currently at BRIGHT WEALTH MANAGEMENT, LLC located in Ashland, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Thomas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas 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) Independent Insurance Agent; Investment Related; Ashland, VA; Agent since 10/04/2017; insurance sales; approximately 16 hours per month; all during securities trading hours; fixed insurance product sales --- 2) Integrated Advice Partners, LLC, Not Investment Related; Ashland, VA, Sole Member since 08/22/2024; Operating Company; approximately 0 hours per month; none during securities trading hours; operating company - no products or services offered through this entity

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas B Underwood III's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2014

Experience

Current

September 12, 2024 - Present

BRIGHT WEALTH MANAGEMENT, LLC

RIA

CRD#: 169771

Ashland, VA

Past

April 26, 2023 - August 29, 2024

CARY STREET PARTNERS

RIA

CRD#: 128545

GLEN ALLEN, VA

Past

April 26, 2023 - August 29, 2024

CARY STREET PARTNERS

CRD#: 128089

GLEN ALLEN, VA

Past

February 17, 2021 - April 27, 2023

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

VIRGINIA BEACH, VA

Past

February 17, 2021 - April 27, 2023

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

VIRGINIA BEACH, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

January 23, 2012 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

FREDERICKSBURG, VA

Past

December 23, 2011 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

FREDERICKSBURG, 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".

BRIGHT WEALTH MANAGEMENT, LLC

CRD#: 169771 / SEC#: 801-130450

RIA

Registered Investment Advisory firm - (6/11/2024 Approved)

Texas

Registered Investment Advisory firm - (7/10/2024 Terminated)

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).

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

Texas
(9/12/2024)

IAR

Virginia
(9/12/2024)

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: 1/20/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2011

General Securities Representative Examination

Current Firm

BRIGHT WEALTH MANAGEMENT, LLC

CRD#: 169771 / SEC#: 801-130450

RIA

Registered Investment Advisory firm - (6/11/2024 Approved)

Texas

Registered Investment Advisory firm - (7/10/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4400 State Highway 121 Suite 400, Lewisville, TX 75056

Mailing Address

Phone number

(972) 410-6623

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRIGHT WEALTH MANAGEMENT FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	399
AUM (Assets Under Management)	$ 228,985,374

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas B. Underwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas B Underwood III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

CARY STREET PARTNERS

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

BRIGHT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2012

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2011

Current Firm

BRIGHT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRIGHT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors