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Michael David Underhill

Investment Adviser Representative at CAPITAL INNOVATIONS, LLC

Waukesha, WICRD #2334382Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
1 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Michael David Underhill has worked in the securities industry since 2000. They have passed the Series 79, 66, 63, 24, 7, and 6 examinations. They are registered to provide investment advisory services in Wisconsin.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Wisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/14/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 4/7/1993
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 12/26/2016
Series 7
General Securities Representative Examination
Passed 12/28/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/19/1993
Series 24
General Securities Principal Examination
Passed 3/26/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $50mm0.75%
Next $50mm0.65%
Next $100mm0.50%
Above $200mm0.00%
Account minimum: $250,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Capital Innovations, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CAPITAL INNOVATIONS, LLCCurrent
2/9/2011Waukesha, WI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
12/19/20061/30/2007San Diego, CA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael David Underhill has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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Michael David Underhill - Financial Advisor in Waukesha, WI | AdvisorFinder