RK
Richard M. Koerner
TOUCHSTONE SECURITIES
CINCINNATI, OH 45202
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CRD#: 2249223
RK
Professional summary
Richard Michael Koerner, who also goes by Richard M Koerner, Rich Koerner, is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard M Koerner | Rich Koerner
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Koerner'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
February 28, 2022 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Past
June 7, 2010 - January 10, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
August 12, 2003 - January 28, 2010
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
December 31, 2000 - March 25, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
November 9, 1998 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
August 14, 1996 - October 15, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
July 2, 1992 - July 15, 1996
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(2/28/2022)
RR
Alaska(2/28/2022)
RR
Arizona(2/28/2022)
RR
Arkansas(2/28/2022)
RR
California(2/28/2022)
RR
Colorado(2/28/2022)
RR
Connecticut(2/28/2022)
RR
Delaware(2/28/2022)
RR
District of Columbia(2/28/2022)
RR
Florida(2/28/2022)
RR
Georgia(2/28/2022)
RR
Hawaii(2/28/2022)
RR
Idaho(2/28/2022)
RR
Illinois(2/28/2022)
RR
Indiana(2/28/2022)
RR
Iowa(2/28/2022)
RR
Kansas(2/28/2022)
RR
Kentucky(2/28/2022)
RR
Louisiana(2/28/2022)
RR
Maine(2/28/2022)
RR
Maryland(2/28/2022)
RR
Massachusetts(2/28/2022)
RR
Michigan(2/28/2022)
RR
Minnesota(2/28/2022)
RR
Mississippi(2/28/2022)
RR
Missouri(2/28/2022)
RR
Montana(2/28/2022)
RR
Nebraska(2/28/2022)
RR
Nevada(2/28/2022)
RR
New Hampshire(2/28/2022)
RR
New Jersey(2/28/2022)
RR
New Mexico(2/28/2022)
RR
New York(2/28/2022)
RR
North Carolina(2/28/2022)
RR
North Dakota(2/28/2022)
RR
Ohio(2/28/2022)
RR
Oklahoma(2/28/2022)
RR
Oregon(2/28/2022)
RR
Pennsylvania(2/28/2022)
RR
Puerto Rico(2/28/2022)
RR
Rhode Island(2/28/2022)
RR
South Carolina(2/28/2022)
RR
South Dakota(2/28/2022)
RR
Tennessee(2/28/2022)
RR
Texas(2/28/2022)
RR
Utah(2/28/2022)
RR
Vermont(2/28/2022)
RR
Virgin Islands(2/28/2022)
RR
Virginia(2/28/2022)
RR
Washington(2/28/2022)
RR
West Virginia(2/28/2022)
RR
Wisconsin(2/28/2022)
RR
Wyoming(2/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 5/22/1995
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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.
Company Information
TOUCHSTONE SECURITIES, INC.
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
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