Richard J. 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.
Richard James Koenig, who also goes by Richard J Koenig, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 9 firms and has passed the 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
August 24, 2010 - September 1, 2015
LOMBARD SECURITIES INCORPORATED
February 15, 2005 - November 6, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 11, 2003 - February 15, 2005
PMG SECURITIES CORPORATION
December 13, 2000 - February 3, 2003
ABACUS INVESTMENTS, INC.
January 18, 1996 - December 15, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 14, 1995 - December 31, 1995
ENERIC FINANCIAL SERVICES, INC.
April 30, 1992 - December 7, 1995
MARINER FINANCIAL SERVICES, INC.
November 13, 1989 - January 27, 1992
LUTHERAN BROTHERHOOD SECURITIES CORP.
December 18, 1986 - November 16, 1989
WOODBURY FINANCIAL SERVICES, INC.
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
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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