Robert M. Koch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert M Koch, who also goes by Robert Koch, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2013. Robert had worked at 4 firms and has passed the Series 63 and Series 65 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - February 14, 2025
ROSSBY FINANCIAL, LLC
December 1, 2015 - November 20, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 5, 2015 - December 1, 2015
TRAC ASSET MANAGEMENT LLC
October 10, 2013 - December 31, 2014
NFSG CORPORATION
Primary Firm SEC Registration
ROSSBY FINANCIAL, LLC
CRD#: 324631 / SEC#: 801-127370
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROSSBY FINANCIAL, LLC
CRD#: 324631 / SEC#: 801-127370
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 358,627,117 |
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.
