Brian James Koch

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2014-08-29

WI RA
APPROVED

Since 2014-08-29

Branch Locations

Manitowoc, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Waupun	WI	08/2014	Present

08/2014 → Present

Lpl Financial Llc

Waupun, WI

Previous Registrations

1999-09-16 → 2014-09-16

Ameriprise Financial Services, Llc

Madison, WI

Beaver Dam, WI

Middleton, WI

Beaver Dam, WI

Other Businesses

1. 7/7/2020 - Red Barn Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/15/2020 - 120 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-09-13

S63 Uniform Securities Agent State Law Examination

1999-09-13

View on SEC IAPD