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MK

Michael S. Koenigsberger

Some features on this profile are disabled
CRD#: 2617647
MK

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.

Michael Salvador Koenigsberger was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 62, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 30, 2015 - February 12, 2016

LPS CAPITAL LLC

BD
CRD#: 155246
NEW YORK, NY
Past

June 5, 2007 - November 21, 2007

EDGETRADE LLC

BD
CRD#: 42071
NEW YORK, NY
Past

July 28, 2003 - June 21, 2004

MDB CAPITAL

BD
CRD#: 42677
ADDISON, TX
Past

May 8, 2002 - September 20, 2002

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

March 28, 2000 - December 1, 2000

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

April 24, 1997 - June 18, 1997

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

December 1, 1995 - July 10, 1996

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

July 20, 1995 - March 7, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 16, 1995 - July 31, 1995

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 5/28/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 1/29/2015
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 5/30/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/15/1995
General Securities Representative Examination

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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.

Company Information

LPS CAPITAL LLC

CRD#: 155246

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