Carl Joseph Koenig

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-05-03
PA	RA	APPROVED	2010-06-23
TX	RA	APPROVED_RES	1995-08-01

Branch Locations

1401 Manatee Ave W, Bradenton, FL 34205 • United States

Holmes Beach, FL • United States

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Doylestown	PA	09/1993	Present
Bank Of America, N.A.	Doylestown	PA	06/2011	Present

09/1993 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Doylestown, PA
06/2011 → Present

Bank Of America, N.A.

Doylestown, PA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-15
S63	Uniform Securities Agent State Law Examination	1993-12-01