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KELLIE R. RAYE SHERYAK
KELLIE RAYE ROSEBERRY, KELLIE ROSEBERRY, KELLIE RAYE SHERYAK
CRD#: 1800975
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 500 N. HURSTBOURNE PKWY
SUITE 300
LOUISVILLE, KY 40222
Registration History
19952000200520102015202020252 FIRMS1995 - 2004 (9 years)2 FIRMS2004 - Present (20 years)BBANC ONE CAPITAL CORPORATION (CRD# 27267)1994 - 1995 (1 year)BLIBERTY INVESTMENT SERVICES, INC. (CRD# 17108)1991 - 1994 (3 years)
License(s)

State Registrations

B
Alabama 7/27/2018

B
Mississippi 7/27/2018

B
Arizona 2/10/2021

B
Missouri 4/26/2018

B
Arkansas 7/27/2018

B
Montana 2/10/2021

B
California 3/26/2004

B
Nevada 2/10/2021

B
Colorado 7/27/2018

B
New Hampshire 2/10/2021

B
Connecticut 2/10/2021

B
New Jersey 2/10/2021

B
District of Columbia 2/10/2021

B
New York 3/26/2004

B
Florida 3/26/2004

B
North Carolina 3/26/2004

IA
Florida 3/8/2021

B
Ohio 11/18/2005

B
Georgia 3/26/2004

B
Oregon 2/10/2021

B
Idaho 2/10/2021

B
Pennsylvania 3/26/2004

B
Illinois 7/28/2011

B
Rhode Island 2/10/2021

B
Indiana 3/26/2004

B
South Carolina 3/26/2004

B
Kentucky 3/26/2004

B
Tennessee 3/26/2004

IA
Kentucky 6/16/2004

IA
Texas 8/3/2012

B
Louisiana 2/10/2021

B
Texas 8/24/2016

B
Maine 2/10/2021

B
Utah 7/27/2018

B
Maryland 2/10/2021

B
Vermont 2/10/2021

B
Massachusetts 9/15/2008

B
Virginia 7/27/2018

B
Michigan 3/26/2004

B
Washington 7/27/2018

B
Minnesota 8/31/2015

B
Wisconsin 7/27/2018

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
500 N. HURSTBOURNE PKWY SUITE 300, LOUISVILLE, KY 40222
5120 VILLAGE SQUARE DRIVE, PADUCAH, KY 42001
Registered with this firm since 3/26/2004

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
500 N. HURSTBOURNE PKWY SUITE 300, LOUISVILLE, KY 40222
5120 VILLAGE SQUARE DRIVE, PADUCAH, KY 42001
Registered with this firm since 3/26/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/15/1995 - 04/08/2004 BANC ONE SECURITIES CORPORATION (CRD#:16999) LOUISVILLE, KY
B
03/15/1995 - 04/08/2004 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
10/18/1994 - 12/01/1995 BANC ONE CAPITAL CORPORATION (CRD#:27267) COLUMBUS, OH
B
01/28/1991 - 10/19/1994 LIBERTY INVESTMENT SERVICES, INC. (CRD#:17108)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.