Scott F. 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.
Scott Fitzgerald Koch, who also goes by Scott F Koch, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2004 - January 20, 2006
H.C.WAINWRIGHT & CO., LLC
July 15, 1999 - June 7, 2004
CARDINAL SECURITIES LLC
August 6, 1992 - September 22, 1995
JOSEPHTHAL & CO., INC.
May 12, 1992 - July 27, 1992
CHATFIELD DEAN & CO., INC.
February 14, 1991 - February 24, 1992
LEHMAN BROTHERS INC.
January 2, 1990 - February 14, 1991
CIBC WORLD MARKETS CORP.
April 4, 1989 - January 2, 1990
J.P. MORGAN SECURITIES LLC
February 23, 1988 - April 6, 1989
UBS FINANCIAL SERVICES INC.
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
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
