Richard James Koch

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2004 → Present
  Cambridge Investment Research,Inc.
  Fairfield, IA
• 01/1995 → Present
  Lions Blind & Charity Fund, Inc.
  Buffalo, NY
• 08/1994 → Present
  Richard J. Koch, Cpa
  Williamsville, NY
• 07/2017 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Other Businesses

1) RICHARD J. KOCH, CPA, 60 MNCHAEL'S WALK, LANCASTER, NY, 11/2011, CPA, NIR, 1 HR/YR, 1 HR/YR TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO, 160 HR/MO TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) CO-EXECUTOR FOR THE ESTATE OF TMC, LANCASTER, NY, 10/2017, NIR, 4 HR/MO, 2 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-02-07
• S63 Uniform Securities Agent State Law Examination
  1994-09-21