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Jonathan Underkofler

Wedbush Securities INC.
18 Years of Experience
Highlands Ranch, CO
8 DisclosuresBroker
View SEC Summary
View SEC Summary

Jonathan Underkofler is a registered investment advisor at Wedbush Securities INC., based in Highlands Ranch, CO, with 18 years of industry experience. Jonathan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 10,048 clients with $5.7B in assets under management.

Wedbush Securities INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
222 advisors
Number of Clients
10,048 clients
Average Client Portfolio
$566K average
Assets Under Management
$5.7B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K - $500K2.80%
$500K - $1.0M2.50%
$1.0M - $3.0M1.90%
$3.0M - $5.0M1.60%
$5M+1.60%

Fees for accounts over $5,000,000 are negotiable. Accounts are subject to minimum annual fees ranging from $250 to $1,000 depending on the program.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Highlands Ranch, CO

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History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2013
Settled
Customer Dispute
June 2010
Settled
Customer Dispute
September 2009
Settled
Customer Dispute
January 2009
Settled
Customer Dispute
January 2009
Denied
Customer Dispute
November 2008
Settled
Customer Dispute
April 2006
Settled
Customer Dispute
June 2005
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wedbush Securities INC.
November 2024 - Present · 1 yr 11 mos
Wedbush Securities INC.
November 2024 - Present · 1 yr 11 mos
Wedbush Securities INC.Broker
November 2024 - Present · 1 yr 11 mos
Previous Registrations
Alliancebernstein L.P.
August 2018 - November 2024 · 6 yrs 3 mos
Sanford C. Bernstein & CO., LLCBroker
July 2018 - November 2024 · 6 yrs 4 mos
Waddell & Reed
September 2008 - July 2014 · 5 yrs 10 mos
Waddell & ReedBroker
September 2008 - July 2014 · 5 yrs 10 mos
Ameriprise Financial Services, INC.
January 2007 - September 2008 · 1 yr 8 mos
Ameriprise Financial Services, INC.Broker
October 2006 - September 2008 · 1 yr 11 mos
Citicorp Investment Services
December 2005 - March 2006 · 3 mos
Citicorp Investment ServicesBroker
December 2005 - March 2006 · 3 mos
Chase Investment Services CORP.
July 2005 - December 2005 · 5 mos
Chase Investment Services CORP.Broker
July 2005 - December 2005 · 5 mos
Banc One Securities Corporation
December 2003 - July 2005 · 1 yr 7 mos
Banc One Securities CorporationBroker
December 2003 - July 2005 · 1 yr 7 mos
Wells Fargo Investments, LLCBroker
December 2002 - January 2003 · 1 mo
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Jonathan Underkofler - Financial Advisor | TrueAdvisor