Milton Koenigsberg
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.
Milton Koenigsberg was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1969. Milton had worked at 12 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2017 - February 27, 2018
ROSS SECURITIES CORPORATION
February 1, 2017 - March 20, 2017
NORTHEAST SECURITIES, LLC
September 7, 2006 - December 31, 2015
LEBENTHAL FINANCIAL SERVICES, INC.
April 7, 1997 - September 20, 2007
NORTHEAST SECURITIES, LLC
December 12, 1996 - October 26, 1999
TRIDENT PARTNERS LTD.
October 11, 1996 - October 22, 1996
CLEARING SERVICES OF AMERICA, INC.
August 16, 1978 - December 8, 1982
OLD SLIP CAPITAL MANAGEMENT, INC.
November 3, 1977 - November 5, 1984
MPG CAPITAL CORP.
March 20, 1974 - January 9, 1984
SHERMAN, FITZPATRICK & CO., INC.
May 11, 1971 - April 10, 1997
JARON EQUITIES CORP.
December 29, 1970 - July 31, 1972
DYNAVEST SECURITIES, INC.
September 16, 1970 - July 7, 1971
PARKER, ENGLAND & CO., INC
August 15, 1969 - August 14, 1971
PERSONAL INVESTORS CO 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 1
Date: 2/28/1969
Registered Representative ExaminationSeries 00
Date: 2/26/1971
General Securities Principal ExaminationCurrent Firm
ROSS SECURITIES CORPORATION
CRD#: 113796 / SEC#: , 8-53361
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, NORMAN EDMOND | PRESIDENT, CCO, CUSTODIAN | 2258201 |
Red Flags
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