Franz Albert Koch

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-11-07
KY	RA	APPROVED	2022-11-07
NC	RA	APPROVED	2022-11-07

FL RA
APPROVED

Since 2022-11-07
KY RA
APPROVED

Since 2022-11-07
NC RA
APPROVED

Since 2022-11-07

Branch Locations

1675 N Military Trail Ste 500, Boca Raton, FL 33486 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Bank Of America, N.A.	Boca Raton	FL	02/2011	10/2022
Wells Fargo Clearing Services, Llc (	Boca Raton	FL	11/2022	Present

02/2011 → 10/2022

Bank Of America, N.A.

Boca Raton, FL
11/2022 → Present

Wells Fargo Clearing Services, Llc (

Boca Raton, FL

Previous Registrations

2010-09-29 → 2022-11-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
2008-12-11 → 2010-09-29

B. Riley Wealth Advisors, Inc.

Ft. Lauderdale, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-01-07

S66 Uniform Combined State Law Examination

2008-01-07

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

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