William M. Koenig

SAFEGUARD SECURITIES

Cleveland, OH 44124

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CRD#: 4297959

Professional summary

William Michael Koenig, who also goes by Bill Koenig, is a registered financial advisor currently at SAFEGUARD SECURITIES, INC. located in Cleveland, Ohio and INVERNESS SECURITIES, LLC located in Cleveland, Ohio.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. William has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Koenig

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) - RIA

Click below to view William Michael Koenig's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 7, 2007 - Present

SAFEGUARD SECURITIES, INC.

Office #1: 6060 Parkland Suite 200, Cleveland, OH 44124

RIA

CRD#: 31256

Cleveland, OH

Current

December 14, 2016 - Present

INVERNESS SECURITIES, LLC

Office #1: 6060 Parkland Blvd Suite 200, Cleveland, OH 44124Office #2: 6060 Parkland Blvd Ste 200, Cleveland, OH 44124

CRD#: 129914

Cleveland, OH

Past

December 6, 2006 - October 27, 2017

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

Past

May 27, 2004 - December 4, 2006

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

BEACHWOOD, OH

Past

May 25, 2004 - December 4, 2006

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BEACHWOOD, OH

Past

September 26, 2003 - June 2, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

CLEVELAND, OH

Past

September 3, 2003 - June 2, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 1, 2002 - September 10, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 8, 2001 - July 12, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

SAFEGUARD SECURITIES, INC.

ANCORA RETIREMENT PLAN ADVISORS INC. | SPECTRUM SECURITIES CORPORATION | SAFEGUARD SECURITIES, INC. | ARIS SECURITIES COMPANY | ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD#: 31256 / SEC#: 801-67475, 8-45442

RIA

Registered Investment Advisory firm - SEC (1/19/2007 Approved)

Terminated by SEC on 10/29/2017

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.

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

IAR

Ohio
(6/7/2007)

Ohio
(10/30/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/26/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SAFEGUARD SECURITIES, INC.

ANCORA RETIREMENT PLAN ADVISORS INC. | SPECTRUM SECURITIES CORPORATION | SAFEGUARD SECURITIES, INC. | ARIS SECURITIES COMPANY | ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD#: 31256 / SEC#: 801-67475, 8-45442

RIA

Registered Investment Advisory firm - SEC (1/19/2007 Approved)

Terminated by SEC on 10/29/2017

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Contact information

Main Address

6060 Parkland Suite 200, Cleveland, OH 44124

Mailing Address

Phone number

(216) 593-5090

Established

Pennsylvania since 06/22/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANCORA RETIREMENT PLAN ADVISORS LLC 12.31.24 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
SOURCE COMPANIES LLC	PARENT COMPANY
KUHR, DAVID WILLIAM	CCO, MUNICIPAL PRINCIPAL	2317114
MOONEY, PETER LAWRENCE	PRESIDENT, PRINCIPAL	2365429
ZUCKER, BRADLEY ALAN	FINOP	4458446

Regulatory assets under management

Total Number of Accounts	157
AUM (Assets Under Management)	$ 1,305,499,514

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

William M. Koenig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Michael Koenig's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVERNESS SECURITIES, LLC

SAFEGUARD SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

OSAIC WEALTH, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SAFEGUARD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2001

FINRA

Current Firm

SAFEGUARD SECURITIES, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SAFEGUARD SECURITIES, INC.

TRUST BUT VERIFY

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