Articles Tagged with James Underhill

James UnderhillPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that Arizona-based Voya Financial Advisors broker/adviser James Underhill has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Underhill (CRD# 2848252).

James Underhill has spent 22 years in the securities industry and has been registered with Voya Financial Advisors in Tucson, Arizona since 2004. He was previously registered with Locust Street Securities in Des Moines, Iowa (1997-2004). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 13, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 8, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 5, 1997; and Series 24 (General Securities Principal Examination), which he obtained on December 19, 2001. He is a registered broker and investment adviser with 33 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.