John A. Koenigsberg
Professional summary
John Andrew Koenigsberg, who also goes by John A Koenigsberg, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Red Bank, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 4 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Andrew Koenigsberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2021 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 10 Broad Street Suite 203/303, Red Bank, NJ 07701January 25, 2010 - February 24, 2018
VFINANCE INVESTMENTS, INC
November 7, 2007 - July 22, 2022
NATIONAL SECURITIES CORPORATION
November 9, 2005 - October 31, 2007
FIRST MONTAUK SECURITIES CORP.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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