Fred W. Koyen
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.
Fred William Koyen, who also goes by Fred W Koyen, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1984. Fred had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2008 - April 13, 2022
B. C. ZIEGLER AND COMPANY
May 18, 2004 - September 15, 2008
BANC OF AMERICA SECURITIES LLC
January 2, 2001 - May 20, 2004
QUICK & REILLY, INC.
February 2, 1998 - January 2, 2001
APEX CLEARING CORPORATION
January 27, 1997 - February 2, 1998
FLEET SECURITIES INC.
December 2, 1994 - January 22, 1997
SANDLER, O'NEILL & PARTNERS, L.P.
July 2, 1994 - December 16, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 12, 1990 - June 13, 1994
R.J. WALLS & CO., INC.
February 24, 1987 - September 25, 1990
MABON, NUGENT & CO.
March 22, 1984 - July 22, 1985
J.P. MORGAN SECURITIES LLC
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
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
