John Koenigsberg

John Andrew Koenigsberg (FINRA CRD# 1332374) is a career securities operations and compliance executive, not a conventional venture or angel investor. His entire documented professional history sits on the "back office" side of broker-dealers — running operations, credit, and internal compliance functions rather than sourcing or making equity investments. FINRA BrokerCheck shows no disclosure events (no complaints, regulatory actions, or terminations) across his career.

His registered employment history includes First Montauk Securities Corp. (Red Bank, NJ, 2005–2007), National Securities Corporation (2007–2022, where he served as SVP, Director of Operations), vFinance Investments (2010–2018), and B. Riley Wealth Management (2021–2026, as Managing Director). National Securities became part of B. Riley Financial when B. Riley completed its acquisition of National Holdings Corporation on February 25, 2021, a deal that combined roughly 700 National registered representatives and ~$20 billion in assets into B. Riley's wealth platform. Earlier in his career, secondary bios describe him as SVP/VP of Operations & Internal Compliance at Montauk Financial Group, SVP of Credit Services at Société Générale Securities Corporation, and VP of Operations at Swiss Bank Corp.

On qualifications, he is a Financial and Operations Principal (Series 27, passed 2005) and also holds the Series 99 (Operations Professional) and the SIE, both passed in 2023. The Series 27 (FinOP) license is the classic credential for the person responsible for a broker-dealer's financial reporting and net-capital compliance — again underscoring an operations-leadership profile.

Important accuracy note: The "Angel Investor / Seed Round" framing in the stub traces to a Foundersuite investor-directory listing, an aggregator that catalogs many finance-industry professionals. No primary source — his firms' pages, his own writing, deal databases, or press — documents an active personal angel-investing practice, a fund, a thesis, or a portfolio. Treat the angel/seed label as unconfirmed aggregator metadata rather than an established fact.

• No stated investment thesis could be verified. He has not published an angel thesis, target sectors, stage preference, or check-size range in any primary source.
• The only "stage" signal is a third-party aggregator (Foundersuite) tagging him under Seed; this is not corroborated by any deal record or self-description.
• His professional expertise is in broker-dealer operations, financial/operations principal (FinOP) responsibilities, credit services, and internal compliance — i.e., the plumbing of securities firms rather than early-stage equity investing.