Individual Firm
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DAVID SCOTT KOENIG
CRD#: 2216745
IA
B
LPL FINANCIAL LLCCRD#: 6413 130 S. FIRST ST.
MT. HOREB, WI 53572-1949
MT. HOREB, WI 53572-1949
0
Disclosures
32
Years of Experience
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State Registrations
B
Arizona 2/26/2003
B
Nevada 4/24/2014
B
Colorado 8/30/2021
B
Ohio 1/6/1997
B
Florida 4/1/2025
B
Texas 4/26/2007
B
Illinois 4/28/1998
IA
Texas 5/10/2007
B
Indiana 1/3/1997
B
Wisconsin 12/20/1995
B
Iowa 10/15/2021
IA
Wisconsin 12/20/1995
B
Maine 3/20/2003
B
Wyoming 1/30/2017
B
Missouri 6/1/2016
SRO Registrations
B
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IA
Registered with this firm since 12/20/1995
B
Registered with this firm since 12/20/1995
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/15/2016 - 12/21/2016 | CLINTON, WI | |
B | 05/01/1992 - 12/21/1995 | SCOTTSDALE, AZ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.