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Douglas Raymond Koenig

Wells Fargo Clearing Services, LLC

Walnut Creek, CA

Napa, CA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-10-27
CA RA APPROVED 2012-07-30
OR RA APPROVED 2012-07-30
  • TX RA
    APPROVED_RES
    Since 2016-10-27
  • CA RA
    APPROVED
    Since 2012-07-30
  • OR RA
    APPROVED
    Since 2012-07-30

Branch Locations

2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States

1455 First St Ste 201, Napa, CA 94559 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Napa Valley CA 07/2012 11/2016
Wells Fargo Clearing Services, Llc Napa Valley CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2012-08-03
    Morgan Stanley
    Santa Rosa, CA
    Santa Rosa, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Santa Rosa, CA
  • 1998-08-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Rosa, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-04
S63 Uniform Securities Agent State Law Examination 1984-01-25
  • S65 Uniform Investment Adviser Law Examination
    1997-03-04
  • S63 Uniform Securities Agent State Law Examination
    1984-01-25

View on SEC IAPD

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Other Investors

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Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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