Robert A. Koch

RIVERSOURCE DISTRIBUTORS

Minneapolis, MN 55402

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CRD#: 5482869

Professional summary

Robert A Koch, who also goes by Robert Alan Koch, Robert Koch, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Alan Koch | Robert 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.

TIDEWATER PROPERTY MANAGEMENT INC. POSITION: Property Manager NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 20 START DATE: 05/26/2022 ADDRESS: 20375 John j Williams Hwy, Lewes DE 19958, United States DESCRIPTION: Part-Time Property Manager

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert A 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®

None

Experience

Current

March 27, 2025 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402

CRD#: 139135

Minneapolis, MN

Past

March 5, 2025 - March 21, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

BASKING RIDGE, NJ

Past

March 5, 2025 - March 21, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

BASKING RIDGE, NJ

Past

September 26, 2022 - January 28, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ALCOA, TN

Past

September 26, 2022 - January 28, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ALCOA, TN

Past

April 9, 2020 - September 1, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Hunt Valley, MD

Past

April 9, 2020 - September 1, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

Hunt Valley, MD

Past

June 18, 2019 - April 3, 2020

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Berlin, MD

Past

June 10, 2019 - June 14, 2019

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Berlin, MD

Past

June 10, 2019 - April 3, 2020

CADARET, GRANT & CO., INC.

CRD#: 10641

Berlin, MD

Past

February 15, 2018 - June 21, 2019

M&T SECURITIES, INC.

RIA

CRD#: 17358

GEORGETOWN, DE

Past

February 5, 2018 - February 7, 2018

M&T SECURITIES, INC.

RIA

CRD#: 17358

GEORGETOWN, DE

Past

February 5, 2018 - June 21, 2019

M&T SECURITIES, INC.

CRD#: 17358

GEORGETOWN, DE

Past

May 2, 2017 - January 25, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MILLVILLE, DE

Past

May 2, 2017 - January 25, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MILLVILLE, DE

Past

December 22, 2016 - March 17, 2017

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

LEWES, DE

Past

August 17, 2015 - March 17, 2017

CITIZENS SECURITIES, INC.

CRD#: 39550

LEWES, DE

Past

March 3, 2008 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BRIDGEWATER, NJ

State Registrations and Notice Filings

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

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

Alabama
(3/28/2025)

Arizona
(4/4/2025)

Arkansas
(9/26/2025)

California
(3/27/2025)

Connecticut
(9/23/2025)

Delaware
(3/31/2025)

District of Columbia
(3/28/2025)

Florida
(3/28/2025)

Georgia
(3/28/2025)

Illinois
(9/29/2025)

Indiana
(9/23/2025)

Kentucky
(9/25/2025)

Louisiana
(3/27/2025)

Maine
(9/23/2025)

Maryland
(3/27/2025)

Michigan
(9/25/2025)

Minnesota
(4/1/2025)

Mississippi
(9/25/2025)

New Hampshire
(9/30/2025)

New Jersey
(3/27/2025)

North Carolina
(3/31/2025)

Ohio
(9/23/2025)

Pennsylvania
(3/28/2025)

Rhode Island
(5/13/2025)

South Carolina
(4/3/2025)

Tennessee
(9/24/2025)

Texas
(3/28/2025)

Virginia
(3/31/2025)

West Virginia
(9/29/2025)

Wisconsin
(9/24/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135 / SEC#: , 8-67196

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

707 Second Avenue South, Minneapolis, MN 55474

Mailing Address

5229 Ameriprise Financial Center, Minneapolis, MN 55474

Phone number

(612) 671-7449

Established

Delaware since 12/09/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AMERIPRISE FINANCIAL, INC	SHAREHOLDER
ALVERO, GUMER CRUZ	CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER	1975307
KNEESHAW, JESSICA A	DIRECTOR	4619188
LASSWELL, MARK THOMAS	CHIEF COMPLIANCE OFFICER	2092593
MATTOX, MICHAEL SCOTT	CHIEF FINANCIAL OFFICER	4383501
MINELLA, PAULA J	GENERAL COUNSEL	7355568
SHERMAN, KARA DALY	DIRECTOR (TEXAS DESIGNATED OFFICER)	4567825

Disclosures

Regulatory Event	2
Arbitration	1

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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Advisor Monitoring

Firm Stability Insights

Robert A. Koch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert A Koch's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2016

Series 63

Date: 9/17/2015

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2017

Series 6

Date: 8/15/2015

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RIVERSOURCE DISTRIBUTORS, INC.

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