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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Ambrose Koch is a financial advisor who has been in the industry since 1995. John is currently registered with Raymond James & Associates, Inc. and is licensed to provide investment advice in Ohio and Texas. John has previously been registered with several other firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Union Securities, Inc., and Paine Webber Incorporated. John has a broad range of experience in the financial services industry and holds several licenses and certifications, including Series 7, Series 10, Series 9, Series 31, Series 63 and Series 65. John is also a member of the Saint Ignatius High School Investment Sub-Committee. John's primary focus is on providing investment advice to individuals, businesses, and corporations. John also provides financial planning and portfolio management services. John is committed to providing his clients with the highest level of service and helping them achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
11/20/2024 - Present
Raymond James & Associates, Inc. (BEACHWOOD OH)
OH
08/23/2013 - 01/06/2014
FOURTH STREET FINANCIAL GROUP, INC. (CINCINNATI OH)
OH
05/04/2001 - 05/29/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CLEVELAND OH)
MO
05/13/1997 - 05/04/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NJ
01/28/1995 - 05/15/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/27/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
05/13/1993 - 09/24/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/17/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 05/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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