Bradley R. 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.
Bradley Robert Koenig MR., who also goes by Bradley Robert Koenig, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1990. Bradley had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 62 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2010 - May 31, 2018
SCOTTRADE, INC.
April 17, 2006 - September 26, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 1, 2004 - July 20, 2004
NATIONAL PLANNING CORPORATION
October 13, 1993 - February 5, 2004
CHARLES SCHWAB & CO., INC.
November 30, 1992 - January 19, 1993
FORESTERS FINANCIAL SERVICES, INC.
July 9, 1992 - October 23, 1992
SCHNEIDER SECURITIES, INC.
May 1, 1992 - June 18, 1992
H.J. MEYERS & CO., INC.
May 16, 1990 - October 5, 1990
FAIRCHILD FINANCIAL GROUP, 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
Series 62
Date: 5/14/1990
Corporate Securities Limited Representative ExaminationSeries 8
Date: 10/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
