Meredith H. Koenig

LUMINA WEALTH MANAGEMENT

WILMINGTON, NC 28403

Some features on this profile are disabled

CRD#: 5346851

Professional summary

Meredith Howell Koenig, who also goes by Meredith Austin Howell, Meredith Howell, is a registered financial advisor currently at LUMINA WEALTH MANAGEMENT, LLC located in Wilmington, North Carolina.

Meredith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Meredith has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Meredith Austin Howell | Meredith Howell

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 Meredith Howell 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

March 30, 2018 - Present

LUMINA WEALTH MANAGEMENT, LLC

Office #1: 1427 Military Cutoff Road Suite 207, Wilmington, NC 28403

RIA

CRD#: 291548

WILMINGTON, NC

Past

August 31, 2009 - March 28, 2018

ANLYAN & HIVELY PRIVATE CLIENT GROUP, LLC

RIA

CRD#: 150580

WILMINGTON, NC

Past

April 6, 2009 - August 31, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WILMINGTON, NC

Past

March 17, 2009 - August 31, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WILMINGTON, NC

Past

February 12, 2008 - August 6, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 10, 2007 - February 1, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

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".

LUMINA WEALTH MANAGEMENT, LLC

CRD#: 291548 / SEC#: 801-112277

RIA

Registered Investment Advisory firm - (12/8/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/30/2018)

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

IAR

Series 65

Date: 4/4/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/9/2007

General Securities Representative Examination

Current Firm

LUMINA WEALTH MANAGEMENT, LLC

CRD#: 291548 / SEC#: 801-112277

RIA

Registered Investment Advisory firm - (12/8/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1427 Military Cutoff Road Suite 207, Wilmington, NC 28403

Mailing Address

Phone number

(910) 599-9409

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LUMINA WEALTH MANAGEMENT, LLC BROCHURE (5/1/2025)

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 196,838,119

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.

Similar Advisors

Ryan Taleghani

PENINSULA EQUITY CAPITAL

IAR

San Carlos, CA

Maria Zimiga

J.P. MORGAN SECURITIES LLC

Toluca Lake, CA

Kenneth Christie

SPECTRUM WEALTH ADVISORY GROUP, LLC

IAR

Granite Bay, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Meredith H. Koenig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Meredith Howell Koenig's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANLYAN & HIVELY PRIVATE CLIENT GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

LUMINA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2009

Series 63

Date: 9/18/2007

Series 7

Date: 7/9/2007

Current Firm

LUMINA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMINA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors