DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Jonathan Brad Underkofler

Wedbush Securities Inc.BD affiliatedHighlands Ranch, Co dual registrantIAPD 4599035

Feed of 09/14/2026

Also filed as Jon Underkofler

At current firm

1 y

since Nov 25, 2024

In the industry

22 y

since Dec 9, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Wedbush Securities Inc. BD affiliated current
since Nov 25, 2024 · Highlands Ranch, Co
Alliancebernstein L.P. other
Aug 8, 2018 to Nov 25, 2024 · Denver, Co
Waddell & Reed former
Sep 26, 2008 to Jul 28, 2014 · Las Vegas, Nv
Ameriprise Financial Services, LLC national BD
Jan 24, 2007 to Sep 12, 2008 · Phoenix, Az
Citicorp Investment Services unclassified
Dec 7, 2005 to Mar 24, 2006 · Northbrook, Il
Chase Investment Services Corp. former
Jul 6, 2005 to Dec 6, 2005 · Chicago, Il
Banc One Securities Corporation unclassified
Dec 9, 2003 to Jul 6, 2005 · Skokie, Il

Moves

a registration end followed by a registration begin elsewhere

Alliancebernstein L.P. to Wedbush Securities Inc.
left Nov 25, 2024, registered Nov 25, 2024 (0 days) · Other
Waddell & Reed to Alliancebernstein L.P.
left Jul 28, 2014, registered Aug 8, 2018 (1472 days) · Other
Ameriprise Financial Services, LLC to Waddell & Reed
left Sep 12, 2008, registered Sep 26, 2008 (14 days) · Other
Citicorp Investment Services to Ameriprise Financial Services, LLC
left Mar 24, 2006, registered Jan 24, 2007 (306 days) · Other
Chase Investment Services Corp. to Citicorp Investment Services
left Dec 6, 2005, registered Dec 7, 2005 (1 days) · Other
Banc One Securities Corporation to Chase Investment Services Corp.
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

Jonathan Brad Underkofler left Alliancebernstein L.P. for Wedbush Securities Inc. (registered 2024-11-25)
Nov 25, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address