Tom A. Koch

FRANKLIN DISTRIBUTORS

Short Hills, NJ 07078

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CRD#: 5720438

Professional summary

Tom Anton Koch, who also goes by Tom Anton Koch, Tom Koch, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.

Tom is registered as a RR (Registered Representative) and started their career in finance in 2009. Tom has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Anton Koch | Tom 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tom Anton 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

October 16, 2024 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078

CRD#: 109064

Short Hills, NJ

Past

January 3, 2022 - September 14, 2023

DWS DISTRIBUTORS, INC.

CRD#: 37306

NEW YORK, NY

Past

May 25, 2019 - July 21, 2021

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

May 16, 2018 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

November 11, 2009 - May 9, 2018

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

October 22, 2009 - May 9, 2018

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

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

New Jersey
(10/16/2024)

New York
(10/16/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/10/2009

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: 10/21/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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

Tom A. Koch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tom Anton Koch's CRS (Customer Relationship Summary).

Certified licenses

Experience

DWS DISTRIBUTORS, INC.

INVESCO DISTRIBUTORS, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/21/2009

Series 24

Date: 5/3/2022

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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