Quinton R. Koch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Quinton Raymond Koch was a registered financial professional .
Quinton is a previously registered financial professional and started their career in finance in 1985. Quinton had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2018 - June 5, 2018
MADISON AVENUE SECURITIES, LLC
May 1, 2018 - June 5, 2018
MADISON AVENUE SECURITIES, LLC
July 6, 2010 - May 3, 2018
CREATIVE FINANCIAL DESIGNS, INC.
July 6, 2010 - May 3, 2018
CFD INVESTMENTS, INC.
November 13, 2009 - July 6, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - July 6, 2010
PNC WEALTH MANAGEMENT LLC
December 4, 2003 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 3, 2003 - November 13, 2009
NATCITY INVESTMENTS, INC.
March 5, 2001 - July 25, 2003
A. G. EDWARDS & SONS, INC.
September 25, 1985 - July 25, 2003
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
