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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Koenig is a financial advisor with Wells Fargo Clearing Services, LLC. Douglas Koenig has been in the financial industry since January 1984. Douglas Koenig's office is located in Napa, California, and he is registered to provide investment advisory services in California, Oregon, and Texas. Douglas Koenig also provides brokerage services in Arizona, Arkansas, California, Colorado, Florida, Idaho, Iowa, Maryland, Massachusetts, Montana, Nevada, Oregon, Tennessee, Texas, Utah, and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/27/2016 - Present
Wells Fargo Clearing Services, LLC (NAPA CA)
CA
06/01/2009 - 08/03/2012
MORGAN STANLEY SMITH BARNEY (SANTA ROSA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SANTA ROSA CA)
CA
01/26/1984 - 04/02/2007
MORGAN STANLEY DW INC. (SANTA ROSA CA)
IA
Issued 03/04/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/05/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1989
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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