SK
Steven R. Koenig
MACQUARIE CAPITAL (USA)
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 4848263
SK
Professional summary
Steven Richard Koenig, who also goes by Steve Koenig, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Dallas, Texas.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2004. Steven has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve 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.
CRS (Client Relationship Summary) - BD
Click below to view Steven Richard 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
August 21, 2024 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 5956 Sherry Lane 20th Floor, Dallas, TX 75225BD
CRD#: 36368
Dallas, TX
Past
July 20, 2020 - June 16, 2023
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
SAN FRANCISCO, CA
Past
June 22, 2012 - July 24, 2020
WEDBUSH SECURITIES INC.
BD
CRD#: 877
SAN FRANCISCO, CA
Past
November 17, 2009 - May 22, 2012
LONGBOW SECURITIES, LLC
BD
CRD#: 135738
SAN FRANCISCO, CA
Past
May 21, 2007 - June 30, 2009
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
SAN FRANCISCO, CA
Past
November 8, 2004 - May 16, 2007
JEFFERIES LLC
BD
CRD#: 2347
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(8/21/2024)
RR
Alaska(8/21/2024)
RR
Arizona(8/21/2024)
RR
Arkansas(8/21/2024)
RR
California(8/21/2024)
RR
Colorado(8/21/2024)
RR
Connecticut(8/21/2024)
RR
Delaware(8/21/2024)
RR
District of Columbia(8/21/2024)
RR
Florida(8/21/2024)
RR
Georgia(8/21/2024)
RR
Hawaii(8/21/2024)
RR
Idaho(8/21/2024)
RR
Illinois(8/21/2024)
RR
Indiana(8/21/2024)
RR
Iowa(8/21/2024)
RR
Kansas(8/21/2024)
RR
Kentucky(8/21/2024)
RR
Louisiana(8/21/2024)
RR
Maine(8/21/2024)
RR
Maryland(8/21/2024)
RR
Massachusetts(8/21/2024)
RR
Michigan(8/21/2024)
RR
Minnesota(8/21/2024)
RR
Mississippi(8/21/2024)
RR
Missouri(8/21/2024)
RR
Montana(8/21/2024)
RR
Nebraska(8/21/2024)
RR
Nevada(8/21/2024)
RR
New Hampshire(8/21/2024)
RR
New Jersey(8/21/2024)
RR
New Mexico(8/21/2024)
RR
New York(8/21/2024)
RR
North Carolina(8/21/2024)
RR
North Dakota(8/21/2024)
RR
Ohio(8/22/2024)
RR
Oklahoma(8/21/2024)
RR
Oregon(8/21/2024)
RR
Pennsylvania(8/21/2024)
RR
Puerto Rico(8/21/2024)
RR
Rhode Island(8/21/2024)
RR
South Carolina(8/21/2024)
RR
South Dakota(8/21/2024)
RR
Tennessee(8/21/2024)
RR
Texas(8/21/2024)
RR
Utah(8/21/2024)
RR
Vermont(8/21/2024)
RR
Virgin Islands(8/21/2024)
RR
Virginia(8/21/2024)
RR
Washington(8/21/2024)
RR
West Virginia(8/21/2024)
RR
Wisconsin(8/21/2024)
RR
Wyoming(8/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368Dallas, TX 75225TRUST BUT VERIFY
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