TK
Thomas Koch
COMERICA SECURITIES
DALLAS, TX 75201
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CRD#: 7953395
TK
Professional summary
Thomas Koch is a registered financial professional currently at COMERICA SECURITIES located in Dallas, Texas.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2024. Thomas has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas 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
November 21, 2024 - Present
COMERICA SECURITIES
Office #1: 1717 Main Street , Dallas, TX 75201BD
CRD#: 17079
DALLAS, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Texas(11/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/6/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/21/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
COMERICA SECURITIES
ADVANTAGE INVESTMENT SERVICE | MANUBANK INVESTMENT SERVICES CORPORATION | COMERICA SECURITIES,INC. | COMERICA SECURITIES | COMERCIA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1000 Woodward Ave, Detroit, MI 48226
Mailing Address
36455 Corporate Drive Mail Code 3291, Farmington Hills, MI 48331
Phone number
(214) 462-1117
Established
Michigan since 10/10/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
211
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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Company Information
COMERICA SECURITIES
CRD#: 17079Dallas, TX 75201TRUST BUT VERIFY
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