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KK

Kerina J. Koch

LNW
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 5992598
KK

Professional summary

Kerina J Koch, who also goes by Kerina Joyce Koch, is a registered financial advisor currently at LNW located in San Francisco, California.

Kerina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Kerina has worked at 6 firms and has passed the Series 66, SIE, Series 52, Series 79, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kerina Joyce 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.
BUILD - I am a volunteer mentor to high school students. Started November 2016. This is approximately 2 hours per week and is non-investment related. BlackFem, Inc. - I am a volunteer with this organization. I identify potential school partnerships. Started November 2016. This is approximately 4-5 hours per week and is non-investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerina J 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

May 1, 2017 - Present

LNW

Office #1: 580 California St. 8th Floor, San Francisco, CA 94104
RIA
CRD#: 107341
San Francisco, CA
Past

March 21, 2016 - July 27, 2016

FUNDING CIRCLE SECURITIES LLC

BD
CRD#: 149479
SAN FRANCISCO, CA
Past

January 2, 2015 - May 8, 2015

PROTECTED INVESTORS OF AMERICA

RIA
CRD#: 6082
SAN FRANCISCO, CA
Past

January 2, 2015 - May 8, 2015

PROTECTED INVESTORS OF AMERICA

BD
CRD#: 6082
SAN FRANCISCO, CA
Past

March 10, 2014 - October 14, 2014

BURRILL SECURITIES

BD
CRD#: 140221
SAN FRANCISCO, CA
Past

September 3, 2013 - May 8, 2015

GORDIAN INVESTMENTS, LLC

BD
CRD#: 158611
SAN FRANCISCO, CA
Past

September 21, 2012 - April 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

July 20, 2012 - April 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA

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".
LN
LNW
KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC

CRD#: 107341 / SEC#: 801-36445

RIA
Registered Investment Advisory firm - (4/27/1990 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.

Highlighted states indicate IAR registrations

IAR
California
(5/1/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/20/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/27/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 1/16/2015
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 9/5/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/17/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2013
General Securities Principal Examination

Current Firm

LN
LNW
KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC

CRD#: 107341 / SEC#: 801-36445

RIA
Registered Investment Advisory firm - (4/27/1990 Approved)
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Contact information

Main Address
801 Second Avenue, Suite 1600, Seattle, WA 98104
Mailing Address
Phone number
(206) 464-5100
Established
Firm type
Fiscal year end
# of Employees
171

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LAIRD NORTON WETHERBY WEALTH MANAGEMENT LLC DECEMBER 2025 (12/3/2025)

Regulatory assets under management

Total Number of Accounts6,068
AUM (Assets Under Management)$ 12,230,221,045

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/20/2024
Cover Page
Report
01/25/2024
Cover Page
Report
02/24/2023
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.

Company Information

LNW

CRD#: 107341San Francisco, CA 94104

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