AK
Amy Koch
DUNCAN WILLIAMS ASSET MANAGEMENT
Memphis, TN 38119
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CRD#: 5741661
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Professional summary
Amy Koch, who also goes by Amy Marie Koch, is a registered financial advisor currently at DUNCAN WILLIAMS ASSET MANAGEMENT, LLC located in Memphis, Tennessee and M. S. HOWELLS & CO. located in Memphis, Tennessee.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Amy has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Marie 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. Hays Financial Group; Investment-Related; 5350 Poplar Ave #600 Memphis, TN 38119; DBA for team; SVP, Financial Advisor; Start date: 4/17/2014; Approximately 160 hours per month, 160 hours per month during trading hours; DBA for Team, Financial Advisor, Insurance and Annuity Business 2. Beale Street Caravan; Non-Investment Related; 1350 Concourse Ave #210 Memphis, TN 38104; Bring music to public radio; Treasurer/Board Member; Start date: 2/15/2024; Approximately 1 hour per month, 1 hour per month during trading hours; Bring the sounds of Memphis to public radio, Live performances from the masters of blues, soul, folk, and rock n' roll, Internationally syndicated radio and podcasts 3. Memphis Citivan; Non-Investment Related; 6000 Poplar Ave Ste. 400, Memphis, TN 38119; Non-Profit; President; Start Date: 5/5/2017; Approximately 1 hour devoted per month; 2 hours per month during trading hours; Non-Profit supporting children and adults with Special Needs. Conduct Meetings, board meetings, discuss events and fundraising 4. M.S. Howells & Co.; Investment-Related; 5350 Poplar Ave #600, Memphis, TN 38119 ; Broker Dealer; Independent Contractor; Start Date: 6/14/2024; 160 hours per month devoted; 160 hours per month devoted during trading hours; Financial Advisor, Insurance and Annuity Business
CRS (Client Relationship Summary) - RIA
Click below to view Amy 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®
NoneExperience
Current
June 14, 2024 - Present
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
Office #1: 5350 Poplar Avenue Suite 600, Memphis, TN 38119RIA
CRD#: 174809
Memphis, TN
Current
June 18, 2024 - Present
M. S. HOWELLS & CO.
Office #1: 5350 Poplar Ave Suite 600, Memphis, TN 38119BD
CRD#: 104100
Memphis, TN
Past
August 11, 2022 - June 20, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Memphis, TN
Past
May 19, 2014 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Memphis, TN
Past
April 17, 2014 - June 20, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Memphis, TN
Past
January 26, 2010 - April 21, 2014
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
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".
DW
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
CRD#: 174809 / SEC#: 801-81015
RIA
Registered Investment Advisory firm - (3/9/2015 Approved)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.RR
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
RR
Alabama(6/18/2024)
RR
Arizona(6/18/2024)
RR
Arkansas(6/18/2024)
RR
Mississippi(6/18/2024)
RR
South Carolina(6/18/2024)
IAR
Tennessee(6/14/2024)
RR
Tennessee(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
CRD#: 174809 / SEC#: 801-81015
RIA
Registered Investment Advisory firm - (3/9/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5350 Poplar Avenue Suite 600, Memphis, TN 38119
Mailing Address
Phone number
(901) 435-4250
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,962 |
| AUM (Assets Under Management) | $ 2,163,085,456 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
CRD#: 174809Memphis, TN 38119TRUST BUT VERIFY
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