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WK

William J. Koch

Some features on this profile are disabled
CRD#: 4817884
WK

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.

William Jacob Koch, who also goes by Bill Koch, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2004. William had worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill 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.
MR. KOCH IS THE SOLE-PROPRIETOR OF AVALON FINANCIAL SERVICES, DEVOTING APPROXIMATELY 30 HOURS A MONTH DURING SECURITIES TRADING HOURS. THIS ACTIVITY IS BANK SERVICE-RELATED AND IS LOCATED AT 11056 MANDALAY DRIVE, DALLAS, TX 75228. MR. KOCH IS ALSO A CONTRACTOR FOR VALLEY VIEW CONSULTING LLC, A REGISTERED INVESTMENT ADVISORY FIRM, DEVOTING APPROXIMATELY 80 HOURS PER MONTH DURING SECURITIES TRADING HOURS. THIS ACTIVITY IS INVESTMENT-RELATED AND IS LOCATED AT 2428 CARTERS MILL RD., HUDDLESTON, VIRGINIA 24104-4003.

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®
None

Experience

Past

August 5, 2008 - October 22, 2014

ESTRADA HINOJOSA & COMPANY, INC.

RIA
CRD#: 19299
DALLAS, TX
Past

October 8, 2004 - December 31, 2022

VALLEY VIEW CONSULTING LLC

RIA
CRD#: 108583
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/7/2004
Uniform Investment Adviser Law Examination

Current Firm

EH
ESTRADA HINOJOSA & COMPANY, INC.
ESTRADA HINOJOSA | TWENTY-FIRST CENTURY SECURITIES AND INVESTMENTS, INC. | NAVARRO-ESTRADA SECURITIES, INC. | ESTRADA SECURITIES, INC. | ESTRADA HINOJOSA & COMPANY, INC.

CRD#: 19299 / SEC#: 801-61971, 8-37440

BD
Terminated by SEC on 12/02/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/09/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ESTRADA HINOJOSA FIRM BROCHURE AS OF MARCH 31, 2013 (3/12/2014)

Direct owners and executive officers

NamePositionCRD#
HINOJOSA, NOE JRCHAIRMAN/PRESIDENT & CEO/SHAREHOLDER1782212
GONZALES, DONALD JOHNSENIOR MANAGING DIRECTOR/TREASURER/ SHAREHOLDER/CCO - MUNI CAPITAL MARKETS2020617
HEBERT, MICHAEL JAMESCCO1229298
JOHNSON, KRISTY KAYFINOP4470948

Disclosures

Regulatory Event6

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

ESTRADA HINOJOSA & COMPANY, INC.

CRD#: 19299

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