Cory Underwood
Cory Underwood is a CFA, CFP-designated registered investment advisor at Osaic Advisory Services, LLC, based in Highlands Ranch, CO, with 21 years of industry experience. Cory operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
Location
1745 Shea Center Dr, Suite 400, Highlands Ranch, CO, 80126
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Cory is the chair/past president of the Financial Planning Association, dedicating a few hours per week. He is also a managing member of Ironsight Wealth Management LLC, spending nearly full-time hours on this investment-related activity.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Previous Registrations
B. Riley Wealth Advisors, INC.
Rubinbrown Brokerage Services, L.L.C.Broker
Rubinbrown Advisors LLC
Cue Financial Group, INC.
Foothill Securities, INC.Broker
New England Securities Corporation
New England SecuritiesBroker
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
Bancwest Investment Services, INC.Broker
Foothill Securities, INC.Broker
Cue Financial Group, INC.
Cue Financial Group, INC.Broker
CPA Wealth Advisors LLC
Purshe Kaplan Sterling InvestmentsBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.