Nicholas J. Koen

VECTORWEALTH

Tampa, FL 33602

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CRD#: 6249924

Professional summary

Nicholas John Koen is a registered financial advisor currently at VECTORWEALTH located in Tampa, Florida.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Nicholas has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.

1) Dough Agency, LLC, licensed insurance agency providing Property & Casualty, Health, Life Insurance Solutions, not investment related, Manager and Principal Agent role, 2/2023, 20 hours/month, 5 hours/month during trading hours. 2) DFN Management LLC, SEC RIA providing investment consulting services to pooled investment vehicles, investment related, member role, 5/2022, 25 hours/ month, 15 hours/month during trading hours. 3) Absolute Group 1 LLC, holding company with interests in multiple small businesses and passive real estate properties, investment related, member role, 5/2021, 20 hours/month, 5 hours/month during trading hours. 4) Absolute Group 16 Inc, holding company with interests in multiple small businesses and passive real estate properties, investment related, member role, 5/2021, 4 hours/month, 0 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Koen'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 1, 2022 - Present

VECTORWEALTH

Office #1: 707 N. Franklin St., Unit 3, Tampa, FL 33602

RIA

CRD#: 312707

Tampa, FL

Past

December 14, 2015 - May 26, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

TAMPA, FL

Past

August 25, 2015 - May 26, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

TAMPA, FL

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

Florida
(6/1/2022)

IAR

Massachusetts
(7/29/2024)

IAR

Tennessee
(1/8/2024)

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 66

Date: 12/10/2015

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: 8/25/2015

General Securities Representative Examination

Current Firm

VECTORWEALTH

VECTORSHARES LLC. | VECTORWEALTH

CRD#: 312707 / SEC#: 801-120588

RIA

Registered Investment Advisory firm - (2/27/2024 Terminated)

Florida

Registered Investment Advisory firm - (1/4/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2024 Approved)

Tennessee

Registered Investment Advisory firm - (1/5/2024 Approved)

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

707 N. Franklin St., Unit 3, Tampa, FL 33602

Mailing Address

Phone number

(813) 767-7053

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,064,233

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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Nicholas J. Koen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Koen's CRS (Customer Relationship Summary).

Certified licenses

Experience

VECTORWEALTH

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2015

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2015

Current Firm

VECTORWEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VECTORWEALTH

TRUST BUT VERIFY

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