Russell G. Koch
Professional summary
Russell Gordon Koch was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Russell is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Russell had worked at 5 firms, which includes KOCHCAPITAL, PAN OCEANIC INVESTMENTS INC., SOUTHMARK FINANCIAL SERVICES INC., K & D SECURITIES INC., ABRAHAM SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 1988 - February 25, 1991
KOCHCAPITAL
July 27, 1987 - April 12, 1988
PAN OCEANIC INVESTMENTS, INC.
February 19, 1986 - June 2, 1986
SOUTHMARK FINANCIAL SERVICES, INC.
May 23, 1984 - February 19, 1986
K & D SECURITIES INC.
October 20, 1983 - April 8, 1985
ABRAHAM SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
KOCHCAPITAL
CRD#: 21038 / SEC#: , 8-38918
Contact information
Documents
Red Flags
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