Gregory A. Koenig

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CRD#: 1342457

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.

Gregory Alan Koenig was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1985. Gregory had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 20, 1985 - April 12, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KOENIG INVESTMENT ADVISORY, LLC

CONDOR WEALTH MANAGEMENT, LLC | KOENIG INVESTMENT ADVISORY, LLC

CRD#: 311422 / SEC#: 801-119834

RIA

Registered Investment Advisory firm - (11/20/2020 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/20/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/17/1991

General Securities Principal Examination

Current Firm

KOENIG INVESTMENT ADVISORY, LLC

CONDOR WEALTH MANAGEMENT, LLC | KOENIG INVESTMENT ADVISORY, LLC

CRD#: 311422 / SEC#: 801-119834

RIA

Registered Investment Advisory firm - (11/20/2020 Approved)

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Contact information

Main Address

739 N Main Street, Ashland, OR 97520

Mailing Address

Phone number

(541) 608-0551

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/28/2025)

Regulatory assets under management

Total Number of Accounts	597
AUM (Assets Under Management)	$ 240,549,891

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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Gregory A. Koenig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MYLAUNCH, LLC

KOENIG INVESTMENT ADVISORY, LLC

KOENIG INVESTMENT ADVISORY, LLC

MUTUAL SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KOENIG INVESTMENT ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/1985

Series 7

Date: 3/16/1985

Series 24

Date: 10/17/1991

Current Firm

KOENIG INVESTMENT ADVISORY, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOENIG INVESTMENT ADVISORY, LLC

TRUST BUT VERIFY

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