JK
John M. Koth
OSAIC INSTITUTIONS
Westfield, IN
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CRD#: 1760032
JK
Professional summary
John Michael Koth is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Westfield, Indiana.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. John has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) FINRA dispute resolution. FINRA Arbitrator. Started in 2005. Approx 1 hour per month.
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Koth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Koth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 19, 2023 - Present
OSAIC INSTITUTIONS, INC.
RIA
BD
CRD#: 35371
Westfield, IN
Current
November 18, 2014 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 538 Preston Avenue, Meriden, CT 06450-4858RIA
BD
CRD#: 35371
Meriden, CT
Past
January 9, 2013 - November 25, 2013
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
DECATUR, IL
Past
August 29, 2011 - December 15, 2011
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
Past
August 26, 2010 - August 19, 2011
BLACK DIAMOND SECURITIES LLC
BD
CRD#: 151228
KIRKLAND, WA
Past
June 26, 2007 - May 19, 2009
DAVENPORT & COMPANY LLC
BD
CRD#: 1588
RICHMOND, VA
Past
April 28, 2006 - October 23, 2006
USA ADVANCED PLANNERS INC.
BD
CRD#: 131282
GRAND RAPIDS, MI
Past
April 24, 2001 - April 13, 2006
CATHOLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 37185
MILWAUKEE, WI
Past
March 22, 1999 - May 2, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
May 15, 1998 - March 10, 1999
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
February 15, 1996 - May 8, 1998
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 21, 1989 - February 21, 1994
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
November 25, 1987 - January 15, 1988
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Indiana(11/13/2023)
IAR
Indiana(12/19/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
