Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ben? Claim Your ProfileBen Koch is a financial professional with over 20 years of experience in the financial services industry. Ben is currently a registered representative with Bofa Securities, Inc. Prior to this role, Ben has held positions at several other firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities LLC and Southwest Securities, Inc. Ben holds several industry licenses and certifications including the Series 63, Series 10, Series 24, Series 79TO, SIE, and Series 7. Ben is also registered as a broker in all 50 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
TX
05/10/2019 - Present
Bofa Securities, Inc. (DALLAS TX)
TX
11/07/2017 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
10/02/2013 - 08/07/2017
J.P. MORGAN SECURITIES LLC (DALLAS TX)
TX
04/16/2009 - 07/24/2013
SOUTHWEST SECURITIES, INC. (DALLAS TX)
NY
10/11/1999 - 11/03/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 01/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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