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Wendy Kester

Ubs Financial Services Inc.

Bradenton, FL

Paducah, KY

Louisville, KY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-05
KY RA APPROVED 2015-08-19
TX RA APPROVED 2015-08-19
  • FL RA
    APPROVED
    Since 2024-04-05
  • KY RA
    APPROVED
    Since 2015-08-19
  • TX RA
    APPROVED
    Since 2015-08-19

Branch Locations

Bradenton, FL • United States

5120 Village Square Drive, Paducah, KY 42001 • United States

500 N. Hurstbourne Pkwy Suite 300, Louisville, KY 40222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Paducah KY 08/2015 Present
Previous Registrations
  • 2003-01-14 → 2015-08-21
    Lpl Financial Llc
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
    Paducah, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-13
S63 Uniform Securities Agent State Law Examination 1998-07-21
  • S65 Uniform Investment Adviser Law Examination
    2003-01-13
  • S63 Uniform Securities Agent State Law Examination
    1998-07-21
Other Names
  • Wendy Ann Kester

View on SEC IAPD

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