Troy C. 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.
Troy Corey Koenig, who also goes by Troy Corey Hosickim, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 2002. Troy had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2005 - April 10, 2013
TRADEWEB DIRECT LLC
April 22, 2004 - January 3, 2005
TD AMERITRADE, INC.
April 15, 2004 - January 3, 2005
TD AMERITRADE, INC.
July 7, 2003 - April 12, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2003 - April 12, 2004
IDS LIFE INSURANCE COMPANY
July 7, 2003 - April 12, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 2002 - June 17, 2003
FIRST ALLIED SECURITIES, 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
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
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.
