Daniel M. Koch

OSAIC WEALTH

OCEAN CITY, NJ 08226

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CRD#: 5633889

Professional summary

Daniel Michael Koch, who also goes by Dan Koch, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Ocean City, New Jersey.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan 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. J BRADLEY CAPITAL LLC POSITION: President NATURE: LLC Fed Tax ID: 46-1030838? INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2012 ADDRESS: 415 N Mansfield Ave, Margate NJ 08402, United States DESCRIPTION: This business is the LLC I run my practice through. Commissions from clients come in and are assigned to the LLC as I am a 1099 employee.? It was established as a management company. 2. POSITION: former partner NATURE: LLC. Management Company Fed ID 46-0797070 INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2012 ADDRESS: 1202 Tilton RD, Suit 2, Northfield NJ 08225, United States DESCRIPTION: None. Sold my share of the partnership. 3. J. BRADLEY CAPITAL, INC. POSITION: President NATURE: Corporation Fed Tax ID: 46-1030838? INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/18/2012 ADDRESS: 415 N Mansfield Ave, Margate NJ 08402, United States DESCRIPTION: This business is the corporation I run my practice through. Commissions from clients come in and are assigned to the corporation as I am a 1099 employee.? It was established as a management company. 4. GIFT OF LIFE POSITION: Ambassador NATURE: Non Profit. 501(c)3 INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2023 ADDRESS: 401 N 3rd St, Philadelphia PA 19123, United States DESCRIPTION: I speak at hospitals and schools on organ transplant and donation. [REDACTED].

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Michael Koch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel Michael Koch's CRS (Customer Relationship Summary).

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

July 29, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1357 Asbury Ave, Ocean City, NJ 08226

RIA

CRD#: 23131

OCEAN CITY, NJ

Current

July 26, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1357 Asbury Ave, Ocean City, NJ 08226

RIA

CRD#: 23131

OCEAN CITY, NJ

Past

October 3, 2012 - July 19, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NORTHFIELD, NJ

Past

October 3, 2012 - July 19, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

NORTHFIELD, NJ

Past

April 8, 2009 - October 8, 2012

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

LINWOOD, NJ

Past

March 9, 2009 - October 8, 2012

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

LINWOOD, NJ

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(7/26/2024)

California
(7/26/2024)

Colorado
(7/26/2024)

Delaware
(7/26/2024)

District of Columbia
(7/26/2024)

Florida
(7/26/2024)

Georgia
(7/26/2024)

Hawaii
(7/26/2024)

Iowa
(7/26/2024)

Maryland
(7/26/2024)

Massachusetts
(7/26/2024)

Nevada
(7/26/2024)

New Hampshire
(7/29/2024)

New Jersey
(7/26/2024)

IAR

New Jersey
(7/29/2024)

New York
(7/26/2024)

North Carolina
(7/31/2024)

Ohio
(7/26/2024)

Oklahoma
(7/26/2024)

Oregon
(7/26/2024)

Pennsylvania
(7/26/2024)

South Carolina
(7/26/2024)

Texas
(7/26/2024)

Virginia
(7/26/2024)

Washington
(7/26/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/7/2009

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: 3/6/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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

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Daniel M. Koch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Michael Koch's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Michael Koch's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2009

Series 24

Date: 2/6/2014

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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