John Michael Koth

Osaic Institutions, Inc.

CRD 1760032

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Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Educational seminars
SOLICITATION SERVICES FOR OTHER ADVISERS

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

Current Employers

Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2023-12-19

IN RA
APPROVED

Since 2023-12-19

Branch Locations

Westfield, IN • United States

538 Preston Avenue, Meriden, CT 06450-4858 • 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
Koth Compliance Consulting	Chesterfield	VA	10/2006	10/2023
John Koth Real Estate Agent	Midlothian	VA	11/2010	12/2016
Osaic Institutions, Inc.	Meriden	CT	10/2014	Present

10/2006 → 10/2023

Koth Compliance Consulting

Chesterfield, VA
11/2010 → 12/2016

John Koth Real Estate Agent

Midlothian, VA
10/2014 → Present

Osaic Institutions, Inc.

Meriden, CT

Other Businesses

1.) FINRA dispute resolution. FINRA Arbitrator. Started in 2005. Approx 1 hour per month.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-12-18
S65	Uniform Investment Adviser Law Examination	1999-06-28
S63	Uniform Securities Agent State Law Examination	1987-10-22

S66 Uniform Combined State Law Examination

2023-12-18
S65 Uniform Investment Adviser Law Examination

1999-06-28
S63 Uniform Securities Agent State Law Examination

1987-10-22

View on SEC IAPD

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