Steven M. Koenig

INFORMED INVESTORS GROUP

Seattle, WA

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CRD#: 1210649

Professional summary

Steven Mark Koenig is a registered financial advisor currently at INFORMED INVESTORS GROUP located in Seattle, Washington.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Steven has worked at 2 firms and has passed the Series 63, Series 2 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Koenig's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 8, 2020 - Present

INFORMED INVESTORS GROUP

RIA

CRD#: 105824

Seattle, WA

Past

November 23, 1983 - December 23, 1985

NEW ENGLAND SECURITIES

CRD#: 615

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(11/8/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 10/15/1991

Non-Member General Securities Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Current Firm

INFORMED INVESTORS GROUP

INFORMED INVESTORS GROUP | KOENIG STEVEN MARK

CRD#: 105824 / SEC#: 801-35059

RIA

Registered Investment Advisory firm - (7/30/2012 Terminated)

Washington

Registered Investment Advisory firm - (6/29/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Seattle, WA

Mailing Address

Phone number

(206) 524-6511

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 70,410,567

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Steven M. Koenig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Koenig's CRS (Customer Relationship Summary).

Certified licenses

Experience

INFORMED INVESTORS GROUP

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/1991

Series 2

Date: 10/15/1991

Series 7

Date: 11/19/1983

Current Firm

INFORMED INVESTORS GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INFORMED INVESTORS GROUP

TRUST BUT VERIFY

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