Charles H. Koch

PRISM FINANCIAL GROUP, L.L.C.

Overland Park, KS 66210-1984

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CRD#: 4686110

Professional summary

Charles Henry Koch, CFP®, CPWA®, who also goes by Charles H Koch, is a registered financial advisor currently at PRISM FINANCIAL GROUP, L.L.C. located in Overland Park, Kansas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Charles has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles H Koch

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) WILD HILL FLOWERS, NON INVESTMENT-RELATED,27449 W 215TH ST, SPRING HILL, KS, WIFE'S FLORAL & EVENT PLANNING BUSINESS, CO-OWNER, STARTED 3/2014, 4 HR/WK - 0 HR/TRADING. 2) UNEXPECTED BLOOMS, NON INVESTMENT-RELATED, 27449 W 215TH ST, SPRING HILL, KS, A 501C(3) BUSINESS THAT DELIVERS FLOWERS TO HOSPICE AND NURSING HOMES, BOARD MEMBER AND TREASURER, STARTED 4/2019, 2 HR/MONTH - 0 HR/TRADING

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2011

CPWA^®

Certified Private Wealth Advisor

Start date: 2018-06-25

Expire date: 2024-05-31

Experience

Current

January 14, 2013 - Present

PRISM FINANCIAL GROUP, L.L.C.

Office #1: 7101 College Blvd. Suite 900, Overland Park, KS 66210-1984

CRD#: 112315

Overland Park, KS

Past

November 6, 2012 - November 15, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

Past

September 17, 2009 - October 12, 2012

SMART401K, LLC

RIA

CRD#: 129208

OVERLAND PARK, KS

Past

October 20, 2005 - June 26, 2009

LINCOLN INVESTMENT

RIA

CRD#: 519

KANSAS CITY, MO

Past

October 20, 2005 - June 26, 2009

LINCOLN INVESTMENT

CRD#: 519

KANSAS CITY, MO

Past

March 28, 2005 - November 3, 2005

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FAIRFIELD, IA

Past

June 15, 2004 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

OVERLAND PARK, KS

Past

May 31, 2004 - November 2, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

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.

Highlighted states indicate IAR registrations

IAR

Kansas
(1/14/2013)

IAR

Texas
(5/4/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/14/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/2004

General Securities Representative Examination

Current Firm

PRISM FINANCIAL GROUP, L.L.C.

PRISM FINANCIAL GROUP, L.L.C. | PRISM FINANCIAL GROUP, LLC

CRD#: 112315 / SEC#: 801-61646

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Contact information

Main Address

7101 College Blvd. Suite 900, Overland Park, KS 66210-1984

Mailing Address

Phone number

(913) 345-1444

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PRISM FINANCIAL GROUP CLIENT BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	2,474
AUM (Assets Under Management)	$ 1,698,069,943

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.

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Charles H. Koch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRISM FINANCIAL GROUP, L.L.C.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SMART401K, LLC

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/14/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2004

Current Firm

PRISM FINANCIAL GROUP, L.L.C.

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRISM FINANCIAL GROUP, L.L.C.

TRUST BUT VERIFY

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