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JONATHAN SLOAN KENDALL
CRD#: 4300620
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE VALMONT PLAZA
SUITE 300
OMAHA, NE 68154
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - Present (23 years)
Disclosure(s)
View By:
4/2/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/24/2014

B
Montana 8/7/2023

B
California 4/1/2003

B
Nebraska 1/26/2001

B
Colorado 5/14/2001

IA
Nebraska 3/26/2001

B
Florida 8/11/2010

B
New Jersey 1/19/2022

B
Georgia 12/18/2001

B
New York 4/3/2001

B
Iowa 3/16/2001

IA
New York 2/23/2022

B
Louisiana 3/2/2022

B
North Dakota 2/28/2022

B
Maine 3/2/2017

B
Ohio 12/21/2021

B
Maryland 4/1/2005

B
Rhode Island 8/9/2023

B
Michigan 12/22/2021

B
Texas 8/24/2001

B
Minnesota 9/14/2006

IA
Texas 11/20/2007

B
Missouri 9/10/2002

B
Virginia 8/27/2008

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)
ONE VALMONT PLAZA SUITE 300, OMAHA, NE 68154
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 3/26/2001

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE VALMONT PLAZA SUITE 300, OMAHA, NE 68154
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 1/10/2001

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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.