Unclaimed Profile

Nicholas John Koen

DFN MANAGEMENT LLC.·TAMPA, Florida

SIE, Series 7, Series 66Clean record10 years registeredDFN MANAGEMENT LLC.

707 N. FRANKLIN STREET, TAMPA, FL 33602CRD# 6249924Firm CRD# 285057

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Nicholas John Koen · TAMPA, FL

Registration

CRD #6249924 · DFN MANAGEMENT LLC. · 10 years registered

Brand Profile

Not yet started

Career History

VECTORWEALTH

Jun 2022 – present

UBS FINANCIAL SERVICES INC.

Dec 2015 – May 2022

TAMPA, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · December 14, 2015

Years registered · 10

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DFN MANAGEMENT LLC.

CRD 285057 · SEC 801-129302

AUM

$155M

Regulatory assets under management

Employees

2 client accounts

Services offered by DFN MANAGEMENT LLC.

Per Form ADV

Pension consulting

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at DFN MANAGEMENT LLC. →

Introduction

Speak with Nicholas

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Nicholas is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in TAMPA?

Browse all registered financial advisors in TAMPA, Florida or claim this profile if it's yours.

Browse TAMPA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Nicholas John Koen offer?

Nicholas John Koen specializes in Retirement Planning. Contact their office in TAMPA, Florida for a consultation.

What are Nicholas John Koen's credentials?

Nicholas John Koen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicholas John Koen located?

Nicholas John Koen is based in TAMPA, Florida, working with DFN MANAGEMENT LLC.. Their office serves clients in the TAMPA metropolitan area and surrounding communities.

How does Nicholas John Koen charge for services?

Nicholas John Koen's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DFN MANAGEMENT LLC.?

DFN MANAGEMENT LLC. has approximately 3 employees and manages $155M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →