David Scott Koenig

LPl Financial LLC

CRD 2216745

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-05-10
WI	RA	APPROVED	1995-12-20

TX RA
APPROVED_RES

Since 2007-05-10
WI RA
APPROVED

Since 1995-12-20

Branch Locations

2585 State Rd 92, Ste 2, Mt. Horeb, WI 53572 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Mt Horeb	WI	12/1995	Present

12/1995 → Present

Lpl Financial Llc

Mt Horeb, WI

Previous Registrations

2016-01-15 → 2016-12-21

Cimino Wealth Advisors

Clinton, WI

Other Businesses

1. 8/6/2002: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - KOENIG FINANCIAL SERVICES, LLC - INVESTMENT RELATED - CLINTON, WI.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-05-14

S63 Uniform Securities Agent State Law Examination

1992-05-14

View on SEC IAPD

Nearby Firms

THRIVENT INVESTMENT MANAGEMENT INC.

CALTON & ASSOCIATES, INC.

Nearby Investors

David James Ogden

ROGER FREDERICK DETERDING

Elizabeth Miller

Nearby Offices

THRIVENT INVESTMENT MANAGEMENT INC. · MOUNT HOREB, WI

LPL FINANCIAL LLC · MOUNT HOREB, WI

EDWARD JONES · MT HOREB, WI

More in Mt. Horeb, WI

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