Jonathan Brad Underkofler

Current Employers

Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-11-25

CO RA
APPROVED

Since 2024-11-25

Branch Locations

Highlands Ranch, CO • United States

110 Front Street, Suite 311, Jupiter, FL 33477 • United States

Metropoint I 4600 So. Ulster St #1350, Denver, CO 80237 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Bny Mellon Wealth Management	Denver	CO	07/2014	06/2018
Sanford C. Bernstein & Co., Llc.	Denver	CO	06/2018	11/2024
Wedbush Securities	Denver	CO	11/2024	Present

07/2014 → 06/2018

Bny Mellon Wealth Management

Denver, CO
06/2018 → 11/2024

Sanford C. Bernstein & Co., Llc.

Denver, CO
11/2024 → Present

Wedbush Securities

Denver, CO

Previous Registrations

2018-08-08 → 2024-11-25

Alliancebernstein L.P.

Denver, CO
2008-09-26 → 2014-07-28

Waddell & Reed

Las Vegas, NV

Denver, CO
2007-01-24 → 2008-09-12

Ameriprise Financial Services, Llc

Phoenix, AZ
2005-12-07 → 2006-03-24

Citicorp Investment Services

Northbrook, IL
2005-07-06 → 2005-12-06

Chase Investment Services Corp.

Chicago, IL
2003-12-09 → 2005-07-06

Banc One Securities Corporation

Skokie, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-08-04

S66 Uniform Combined State Law Examination

2018-08-04

Other Names

Jon Underkofler

View on SEC IAPD