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Detailed Report
DOUGLAS RAYMOND KOENIG
CRD#: 1220215
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1455 FIRST ST
STE 201
NAPA, CA 94559
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (13 years)BMORGAN STANLEY DW INC. (CRD# 7556)1984 - 2007 (23 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
License(s)

State Registrations

B
Arizona 2/13/2020
B
Massachusetts 4/4/2019
B
Arkansas 5/24/2017
B
Montana 1/24/2017
B
California 7/27/2012
B
Nevada 7/27/2012
IA
California 7/27/2012
IA
Oregon 7/30/2012
B
Colorado 10/26/2016
B
Oregon 11/10/2016
B
Florida 8/17/2018
B
Tennessee 10/18/2022
B
Idaho 2/8/2023
B
Texas 10/26/2016
B
Iowa 9/26/2019
IA
Texas 10/27/2016
IA
Iowa 9/30/2019
B
Utah 6/7/2018
B
Maryland 4/10/2019
B
Washington 9/21/2016

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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
WELLS FARGO ADVISORS (CRD#:19616)
1455 FIRST ST STE 201, NAPA, CA 94559
Registered with this firm since 7/27/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1455 FIRST ST STE 201, NAPA, CA 94559
Registered with this firm since 7/27/2012
Previous Registration(s)
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IA
 06/01/2009 - 08/03/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SANTA ROSA, CA
B
 06/01/2009 - 08/03/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SANTA ROSA, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA ROSA, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA ROSA, CA
IA
 08/24/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SANTA ROSA, CA
B
 01/26/1984 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SANTA ROSA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.