Michael P. Koob

KOOB WEALTH MANAGEMENT

White Bear Township, MN 55127

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CRD#: 2156408

Professional summary

Michael Peter Koob, who also goes by Mike Koob, is a registered financial advisor currently at KOOB WEALTH MANAGEMENT, LLC located in White Bear Township, Minnesota and LPL FINANCIAL LLC located in St Paul, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Koob

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.

1. 1/9/2013: KOOB WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/2012 - Time Spent 100% - I provide investment advisory services through Koob Wealth Management, an independent investment advisor firm. I started this business activity in 12/2012. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 8/20/2013 - KOOB WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 11/30/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Insurance agent - Start Date - 11/07/2022 - 4 Hours Per Month/1 Hours During Securities Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Peter Koob's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2014 - Present

KOOB WEALTH MANAGEMENT, LLC

Office #1: 4517 Allendale Drive, White Bear Township, MN 55127

RIA

CRD#: 154830

White Bear Township, MN

Current

December 2, 2010 - Present

LPL FINANCIAL LLC

Office #1: 4517 Allendale Dr, St Paul, MN 55127

RIA

CRD#: 6413

St Paul, MN

Past

September 12, 2006 - December 7, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BLOOMINGTON, MN

Past

August 12, 2006 - December 7, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BLOOMINGTON, MN

Past

January 5, 2001 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

EDINA, MN

Past

November 23, 1994 - January 9, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 4, 1991 - December 16, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 4, 1991 - December 16, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

KOOB WEALTH MANAGEMENT, LLC

CRD#: 154830 / SEC#: 801-130516

RIA

Registered Investment Advisory firm - (6/21/2024 Approved)

Minnesota

Registered Investment Advisory firm - (6/26/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/7/2011)

Florida
(10/17/2017)

Massachusetts
(12/2/2010)

Michigan
(10/20/2017)

Minnesota
(12/2/2010)

IAR

Minnesota
(1/3/2014)

North Carolina
(10/17/2017)

Texas
(2/15/2011)

Wisconsin
(12/2/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/21/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/3/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KOOB WEALTH MANAGEMENT, LLC

CRD#: 154830 / SEC#: 801-130516

RIA

Registered Investment Advisory firm - (6/21/2024 Approved)

Minnesota

Registered Investment Advisory firm - (6/26/2024 Terminated)

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Contact information

Main Address

4517 Allendale Drive, White Bear Township, MN 55127

Mailing Address

Phone number

(651) 330-4996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KOOB WEALTH MANAGEMENT ADV PART 2A AND 2B (9/9/2025)

KOOB WEALTH MANAGEMENT ADV PART 2A APPENDIX 1 (9/9/2025)

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 150,348,339

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Michael P. Koob

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Peter Koob's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KOOB WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/1996

Series 63

Date: 7/19/1991

SIE

Date: 10/1/2018

Series 31

Date: 7/21/2004

Series 7

Date: 10/3/1991

FINRA

Current Firm

KOOB WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOOB WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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