TK
Travis S. Koch
MOORS & CABOT
Naples, FL 34108
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CRD#: 4530099
TK
Professional summary
Travis Scott Koch is a registered financial advisor currently at MOORS & CABOT, INC. located in Naples, Florida.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Travis has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
Travis is volunteering as a board member of University of Minnesota Alumni Association SW Florida Chapter. This organization is located at Oak St. Unit 200 Minneapolis Minnesota 55455 USA. Travis will not be compensated for his services and will dedicate 3 hours per month to this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Scott Koch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Travis Scott Koch'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 16, 2020 - Present
MOORS & CABOT, INC.
Office #1: 999 Vanderbilt Beach Road Suite 102, Naples, FL 34108RIA
BD
CRD#: 594
Naples, FL
Current
November 16, 2020 - Present
MOORS & CABOT, INC.
Office #1: 999 Vanderbilt Beach Road Suite 102, Naples, FL 34108RIA
BD
CRD#: 594
Naples, FL
Past
August 1, 2012 - November 14, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
NAPLES, FL
Past
August 1, 2012 - November 14, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
NAPLES, FL
Past
April 20, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
RIA
CRD#: 16517
APPLETON, WI
Past
April 28, 2010 - April 19, 2012
M&I INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 109802
MILWAUKEE, WI
Past
February 19, 2009 - March 26, 2010
M&I FINANCIAL ADVISORS, INC
RIA
CRD#: 16517
APPLETON, WI
Past
December 10, 2008 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
APPLETON, WI
Past
June 16, 2004 - December 1, 2008
EDWARD JONES
BD
CRD#: 250
KAUKAUNA, WI
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)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
Florida(11/16/2020)
IAR
Florida(8/2/2021)
RR
Wisconsin(11/16/2020)
IAR
Wisconsin(12/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
