Brian R. Koch
Professional summary
Brian Robert Koch, CFP®, who also goes by Brian R Koch, Brian Koch, is a registered financial advisor currently at MISSIONSQUARE WEALTH MANAGEMENT located in San Marcos, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Robert Koch's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2012
Experience
February 27, 2026 - Present
MISSIONSQUARE WEALTH MANAGEMENT
November 15, 2022 - Present
MISSIONSQUARE WEALTH MANAGEMENT
November 15, 2022 - March 16, 2026
MISSIONSQUARE RETIREMENT
June 9, 2022 - September 30, 2022
THE RETIREMENT GROUP, LLC
June 7, 2022 - October 4, 2022
FSC SECURITIES CORPORATION
January 26, 2022 - June 1, 2022
CHARLES SCHWAB & CO., INC.
January 26, 2022 - June 1, 2022
CHARLES SCHWAB & CO., INC.
May 26, 2020 - June 1, 2022
TD AMERITRADE, INC.
May 26, 2020 - June 1, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 26, 2020 - June 1, 2022
TD AMERITRADE, INC.
March 3, 2020 - April 28, 2020
BETA WEALTH GROUP, INC
October 27, 2016 - February 19, 2020
TD AMERITRADE, INC.
October 27, 2016 - February 19, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 27, 2016 - February 19, 2020
TD AMERITRADE, INC.
August 7, 2015 - September 29, 2016
PRINCIPAL FUNDS DISTRIBUTOR, INC.
March 13, 2008 - August 3, 2015
U.S. BANCORP ADVISORS, LLC
March 13, 2008 - August 3, 2015
U.S. BANCORP ADVISORS, LLC
October 5, 2007 - February 11, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 20, 2007 - February 11, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/15/2022)
(2/27/2026)
(12/6/2022)
(2/27/2026)
(2/27/2026)
Exams
FINRA
Current Firm
MISSIONSQUARE WEALTH MANAGEMENT
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRESIDENT & PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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