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WENDY KESTER
WENDY ANN KESTER
CRD#: 3068348
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 5120 VILLAGE SQUARE DRIVE
PADUCAH, KY 42001
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1998 (<1 year)2 FIRMS2015 - Present (9 years)BLPL FINANCIAL LLC (CRD# 6413)2002 - 2015 (13 years)BJ.C. BRADFORD & CO. (CRD# 1287)2000 - 2000 (<1 year)BJ.C. BRADFORD & CO. (CRD# 1287)1998 - 2000 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2003 - 2015 (12 years)
License(s)

State Registrations

B
Alabama 12/18/2017

B
Missouri 12/18/2017

B
Arizona 2/10/2021

B
Nevada 2/10/2021

B
Arkansas 12/18/2017

B
New Hampshire 2/10/2021

B
California 12/18/2017

B
New Jersey 2/10/2021

B
Colorado 12/18/2017

B
New York 12/18/2017

B
Connecticut 2/10/2021

B
North Carolina 1/19/2017

B
District of Columbia 2/10/2021

B
Ohio 12/18/2017

B
Florida 8/19/2015

B
Oklahoma 2/10/2021

IA
Florida 4/5/2024

B
Oregon 2/10/2021

B
Georgia 2/10/2021

B
Pennsylvania 12/18/2017

B
Idaho 2/10/2021

B
Rhode Island 2/10/2021

B
Illinois 8/19/2015

B
South Carolina 7/13/2018

B
Indiana 9/11/2017

B
Tennessee 1/7/2016

B
Kentucky 8/19/2015

IA
Texas 8/19/2015

IA
Kentucky 8/19/2015

B
Texas 1/5/2017

B
Louisiana 2/10/2021

B
Utah 7/13/2018

B
Maine 2/10/2021

B
Vermont 2/10/2021

B
Maryland 2/10/2021

B
Virginia 1/11/2018

B
Massachusetts 7/13/2018

B
Washington 7/13/2018

B
Michigan 10/17/2017

B
Wisconsin 7/13/2018

B
Minnesota 8/14/2018

B
Wyoming 7/13/2018

B
Mississippi 8/11/2017

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

View Exams Passed by the individual in the detailed report

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)
5120 VILLAGE SQUARE DRIVE, PADUCAH, KY 42001
500 N. HURSTBOURNE PKWY SUITE 300, LOUISVILLE, KY 40222
Registered with this firm since 8/19/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
5120 VILLAGE SQUARE DRIVE, PADUCAH, KY 42001
500 N. HURSTBOURNE PKWY SUITE 300, LOUISVILLE, KY 40222
Registered with this firm since 8/19/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/14/2003 - 08/21/2015 LPL FINANCIAL LLC (CRD#:6413) PADUCAH, KY
B
08/09/2002 - 08/21/2015 LPL FINANCIAL LLC (CRD#:6413) PADUCAH, KY
B
07/19/2000 - 08/11/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
11/02/1998 - 07/06/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
08/03/1998 - 10/26/1998 MERCANTILE INVESTMENT SERVICES, INC. (CRD#:19908) ST. LOUIS, MO
B
06/11/1998 - 08/11/1998 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
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Broker
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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.