SK
Sabine E. Koenig
MARTIN NELSON & CO.
Seattle, WA 98109
Some features on this profile are disabled
CRD#: 3257471
SK
Professional summary
Sabine Erika Regina Koenig is a registered financial advisor currently at MARTIN NELSON & CO., INC. located in Seattle, Washington.
Sabine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sabine has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Sabine Erika Regina Koenig's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sabine Erika Regina Koenig's 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®
NoneExperience
Current
July 29, 2020 - Present
MARTIN NELSON & CO., INC.
Office #1: 1500 Westlake Ave N # 200, Seattle, WA 98109Office #2: 1500 Westlake Ave North #200, Seattle, WA 98109-3031RIA
BD
CRD#: 2903
Seattle, WA
Current
March 8, 2002 - Present
MARTIN NELSON & CO., INC.
Office #1: 1500 Westlake Ave N # 200, Seattle, WA 98109Office #2: 1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031RIA
BD
CRD#: 2903
Seattle, WA
Past
August 24, 2000 - December 20, 2001
HORNBLOWER FISCHER & CO.
BD
CRD#: 10885
NEW YORK, NY
Past
July 23, 1999 - May 31, 2000
MARTIN NELSON & CO., INC.
BD
CRD#: 2903
SEATTLE, WA
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".
MARTIN NELSON & CO., INC.
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
RIA
Registered Investment Advisory firm - SEC (1/11/2022 Approved)Oregon
Registered Investment Advisory firm - SEC (11/24/2020 Terminated)Washington
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
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
RR
Washington(3/8/2002)
IAR
Washington(7/29/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MARTIN NELSON & CO., INC.
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
RIA
Registered Investment Advisory firm - SEC (1/11/2022 Approved)Oregon
Registered Investment Advisory firm - SEC (11/24/2020 Terminated)Washington
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031
Mailing Address
1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031
Phone number
(206) 682-6261
Established
Washington since 04/01/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
7
SEC notice filing (6 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 392 |
| AUM (Assets Under Management) | $ 260,010,706 |
Disclosures
| Regulatory Event | 4 |
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.
