Ronald B. 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.
Ronald Benjamin Koenig, who also goes by Ronald B Koenig, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1969. Ronald had worked at 7 firms and has passed the Series 63, Series 41, PC, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 1996 - April 18, 2001
CAPITAL GROWTH FINANCIAL, LLC
August 12, 1994 - March 15, 1998
EMERSON BENNETT & ASSOCIATES
November 7, 1989 - July 1, 1993
GRUNTAL & CO., L.L.C.
October 24, 1989 - July 1, 1993
GRUNTAL & CO., L.L.C.
September 10, 1974 - October 26, 1989
LADENBURG THALMANN & CO. INC.
May 16, 1972 - July 13, 1974
JAS. H. OLIPHANT & CO., INC.
October 1, 1970 - May 12, 1972
LIEF, WERLE & CO.
April 7, 1969 - March 27, 1972
DEUTSCHMANN & CO
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 41
Date: 5/4/1985
NYSE Allied Member ExaminationPC
Date: 9/6/1977
AMEX Put and Call ExamSeries 40
Date: 3/28/1969
Registered Principal ExaminationCurrent Firm
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
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.
