Paul E. Koenig
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Edward Koenig was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2022 - June 22, 2023
ENCOMPASS MORE ASSET MANAGEMENT LLC
August 19, 2019 - January 3, 2022
VERITY ASSET MANAGEMENT
August 19, 2019 - January 3, 2022
VERITY INVESTMENTS, INC.
November 2, 2018 - August 22, 2019
OSAIC WEALTH, INC.
November 2, 2018 - August 22, 2019
OSAIC WEALTH, INC.
September 13, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
July 13, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
March 30, 2011 - July 24, 2012
MSI FINANCIAL SERVICES, INC.
January 28, 2009 - July 24, 2012
MSI FINANCIAL SERVICES, INC.
August 12, 2008 - January 29, 2009
PRINCIPAL SECURITIES, INC.
November 5, 2004 - August 18, 2008
CETERA FINANCIAL SPECIALISTS LLC
January 14, 2003 - March 22, 2004
NATIONS FINANCIAL GROUP, INC.
May 19, 1998 - December 31, 2002
FFP ADVISORY SERVICES INC
March 25, 1998 - December 31, 2002
FFP SECURITIES, INC.
October 13, 1995 - March 25, 1998
GUARDIAN INVESTOR SERVICES LLC
April 8, 1993 - October 23, 1995
MML INVESTORS SERVICES, LLC
May 26, 1992 - April 1, 1993
NYLIFE SECURITIES LLC
August 4, 1983 - February 21, 1984
WADDELL & REED
Primary Firm SEC Registration
ENCOMPASS MORE ASSET MANAGEMENT LLC
CRD#: 322382 / SEC#: 801-126102
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ENCOMPASS MORE ASSET MANAGEMENT LLC
CRD#: 322382 / SEC#: 801-126102
Contact information
SEC notice filing (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,025 |
| AUM (Assets Under Management) | $ 581,910,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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