WILLIAM MICHAEL KOENIG - Investment Adviser at ANCORA RETIREMENT PLAN ADVISORS, LLC

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Detailed ReportReport

WILLIAM MICHAEL KOENIG

BILL KOENIG

CRD#: 4297959

Investment Adviser

Broker

ANCORA RETIREMENT PLAN ADVISORS, LLCCRD#: 31256

6060 PARKLAND
SUITE 200
CLEVELAND, OH 44124

INVERNESS SECURITIES, LLCCRD#: 129914

6060 Parkland Blvd
Suite 200
Cleveland, OH 44124

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Ohio 6/7/2007

Ohio 10/30/2017

SRO Registrations

FINRA

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)

ANCORA RETIREMENT PLAN ADVISORS, LLC (CRD#:31256)

6060 PARKLAND SUITE 200, CLEVELAND, OH 44124

Registered with this firm since 6/7/2007

INVERNESS SECURITIES, LLC (CRD#:129914)

6060 Parkland Blvd Suite 200, Cleveland, OH 44124

6060 PARKLAND BLVD STE 200, CLEVELAND, OH 44124

Registered with this firm since 12/14/2016

Previous Registration(s)

th hidden text	th hidden text	Name	Location
B	12/06/2006 - 10/27/2017	SAFEGUARD SECURITIES, INC. (CRD#:31256)	MAYFIELD HEIGHTS, OH
IA	05/27/2004 - 12/04/2006	WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078)	BEACHWOOD, OH
B	05/25/2004 - 12/04/2006	WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078)	BEACHWOOD, OH
IA	09/26/2003 - 06/02/2004	WS GRIFFITH SECURITIES, INC. (CRD#:10410)	CLEVELAND, OH
B	09/03/2003 - 06/02/2004	WS GRIFFITH SECURITIES, INC. (CRD#:10410)	HARTFORD, CT
B	07/01/2002 - 09/10/2003	ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131)	SCOTTSDALE, AZ
B	01/08/2001 - 07/12/2002	AXA ADVISORS, LLC (CRD#:6627)	NEW YORK, NY

SAFEGUARD SECURITIES, INC. (CRD#:31256)

MAYFIELD HEIGHTS, OH

12/06/2006 - 10/27/2017

WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078)

BEACHWOOD, OH

05/27/2004 - 12/04/2006

WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078)

BEACHWOOD, OH

05/25/2004 - 12/04/2006

WS GRIFFITH SECURITIES, INC. (CRD#:10410)

CLEVELAND, OH

09/26/2003 - 06/02/2004

WS GRIFFITH SECURITIES, INC. (CRD#:10410)

HARTFORD, CT

09/03/2003 - 06/02/2004

ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131)

SCOTTSDALE, AZ

07/01/2002 - 09/10/2003

AXA ADVISORS, LLC (CRD#:6627)

NEW YORK, NY

01/08/2001 - 07/12/2002

For additional information about investment advisers or broker-dealers, please visit

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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.

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.