Kenneth Ray Koger JR | Financial Professional

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.

Kenneth Ray Koger JR, who also goes by Ken Koger, Kenneth Ray Koger, Kenneth R Koger, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 2005. Kenneth had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Ken Koger | Kenneth Ray Koger | Kenneth R Koger

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 22, 2017 - December 31, 2020

SB ADVISORY, LLC

RIA

CRD#: 154680

Chicago, IL

Past

June 22, 2017 - November 21, 2019

IFS SECURITIES

BD

CRD#: 40375

ATLANTA, GA

Past

May 5, 2017 - May 23, 2017

IHT WEALTH MANAGEMENT LLC

RIA

CRD#: 171481

CHICAGO, IL

Past

September 20, 2013 - April 18, 2017

B. C. ZIEGLER AND COMPANY

RIA

CRD#: 61

CHICAGO, IL

Past

September 20, 2013 - April 18, 2017

B. C. ZIEGLER AND COMPANY

BD

CRD#: 61

CHICAGO, IL

Past

May 31, 2011 - August 28, 2013

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

NAPERVILLE, IL

Past

May 31, 2011 - August 28, 2013

U.S. BANCORP INVESTMENTS, INC.

BD

CRD#: 17868

NAPERVILLE, IL

Past

February 20, 2009 - June 1, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

PALATINE, IL

Past

February 20, 2009 - June 1, 2011

CHASE INVESTMENT SERVICES CORP.

BD

CRD#: 25574

PALATINE, IL

Past

January 1, 2008 - February 20, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WILLOWBROOK, IL

Past

January 1, 2008 - February 20, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

WILLOWBROOK, IL

Past

November 24, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

WILLOWBROOK, IL

Past

November 15, 2005 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD

CRD#: 4

WILLOWBROOK, IL

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".

SA

SB ADVISORY, LLC

CRD#: 154680 / SEC#: 801-77380

RIA

Registered Investment Advisory firm - (12/4/2012 Approved)

Arkansas

Registered Investment Advisory firm - (12/31/2012 Terminated)

California

Registered Investment Advisory firm - (12/31/2012 Terminated)

Colorado

Registered Investment Advisory firm - (1/3/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2012 Terminated)

Indiana

Registered Investment Advisory firm - (12/31/2012 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2012 Terminated)

Missouri

Registered Investment Advisory firm - (8/19/2014 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (1/2/2013 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/31/2012 Terminated)

Puerto Rico

Registered Investment Advisory firm - (12/31/2012 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (12/3/2013 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2012 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2012 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 11/23/2005

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 11/14/2005

General Securities Representative Examination

Current Firm

SA

SB ADVISORY, LLC

CRD#: 154680 / SEC#: 801-77380

RIA

Registered Investment Advisory firm - (12/4/2012 Approved)

Arkansas

Registered Investment Advisory firm - (12/31/2012 Terminated)

California

Registered Investment Advisory firm - (12/31/2012 Terminated)

Colorado

Registered Investment Advisory firm - (1/3/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2012 Terminated)

Indiana

Registered Investment Advisory firm - (12/31/2012 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2012 Terminated)

Missouri

Registered Investment Advisory firm - (8/19/2014 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (1/2/2013 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/31/2012 Terminated)

Puerto Rico

Registered Investment Advisory firm - (12/31/2012 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (12/3/2013 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2012 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2012 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184

Mailing Address

Phone number

(404) 704-0406

Established

Firm type

Fiscal year end

# of Employees

29

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SB ADVISORY BROCHURE (10/6/2025)

Regulatory assets under management

Total Number of Accounts	1,540
AUM (Assets Under Management)	$ 404,771,341

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

Kenneth R. Koger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IFS SECURITIES

IHT WEALTH MANAGEMENT LLC

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SB ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2005

Current Firm

SB ADVISORY, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SB ADVISORY, LLC

TRUST BUT VERIFY

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