SK
Stephen T. Koda
ADVOCATE INVESTING SERVICES
WOODBINE, MD 21797
Some features on this profile are disabled
CRD#: 7439503
SK
Professional summary
Stephen Thomas Koda, who also goes by Stephen T Koda, Stephen Koda, is a registered financial advisor currently at ADVOCATE INVESTING SERVICES located in Woodbine, Maryland.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Stephen has worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen T Koda | Stephen Koda
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. Name: Rocket Sports, LLC Investment Related?: It is NOT investment related Address: 8015 Lions Crest Way, Gaithersburg, MD 20879 Nature of Business: Custom apparel printer Position: Owner/President Start Date: 06/2016 Hours/Month: 20 Hours/Month during trading hours: 0 Duties: As the owner of the Single-Member LLC I do everything such as ordering supplies, printing t-shirts, and delivering them to customers 2. Name of the other business: Universal Tech investment-related (y/n): No address of the other business: 910 SE 17th Street, 4th Floor, Fort Lauderdale, FL 33316 nature of the other business: Personal finance application development position, title, or relationship with the other business: Senior Financial Analyst start date of your relationship: 03/16/2022 approximate number of hours/month devoted to the other business: 160/mo the number of hours devoted to the other business during securities trading hours: 40/wk briefly describe duties relating to the other business: developing process flows and high level UI input
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Koda'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
October 11, 2021 - Present
ADVOCATE INVESTING SERVICES
Office #1: 15949 Frederick Road, Woodbine, MD 21797RIA
CRD#: 273035
WOODBINE, MD
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".
AI
ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICE | ADVOCATE INVESTING SERVICES, LLC | ADVOCATE INVESTING SERVICES
CRD#: 273035 / SEC#: 801-125692
RIA
Registered Investment Advisory firm - (5/19/2022 Approved)Florida
Registered Investment Advisory firm - (5/23/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/31/2022 Terminated)Texas
Registered Investment Advisory firm - (5/23/2022 Terminated)Virginia
Registered Investment Advisory firm - (5/23/2022 Terminated)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
Maryland(10/11/2021)
IAR
Texas(10/25/2021)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
AI
ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICE | ADVOCATE INVESTING SERVICES, LLC | ADVOCATE INVESTING SERVICES
CRD#: 273035 / SEC#: 801-125692
RIA
Registered Investment Advisory firm - (5/19/2022 Approved)Florida
Registered Investment Advisory firm - (5/23/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/31/2022 Terminated)Texas
Registered Investment Advisory firm - (5/23/2022 Terminated)Virginia
Registered Investment Advisory firm - (5/23/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15949 Frederick Road, Woodbine, MD 21797
Mailing Address
Phone number
(240) 403-0039
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 339 |
| AUM (Assets Under Management) | $ 154,494,351 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
