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Detailed Report
STEVEN DONALD KOCH
STEVEN KOCH
CRD#: 5369256
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 1200 N MAYFAIR RD
SUITE 300
MILWAUKEE, WI 53226
Registration History
20082010201220142016201820202022202420262 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2023 (5 years)2 FIRMS2023 - Present (1 year)BMSI FINANCIAL SERVICES, INC. (CRD# 14251)2007 - 2017 (9 years)IAMSI FINANCIAL SERVICES, INC. (CRD# 14251)2010 - 2017 (7 years)
Disclosure(s)
View By:
6/3/2020
Customer Dispute
Denied
11/14/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/19/2024
B
Minnesota 9/1/2023
B
Arizona 9/1/2023
B
North Carolina 9/1/2023
B
California 1/23/2025
B
Oklahoma 9/1/2023
B
Florida 9/1/2023
B
Texas 9/1/2023
IA
Florida 9/1/2023
IA
Texas 9/1/2023
B
Illinois 9/1/2023
B
Wisconsin 9/1/2023
IA
Illinois 9/1/2023
IA
Wisconsin 9/1/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
1200 N MAYFAIR RD SUITE 300, MILWAUKEE, WI 53226
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
1200 N MAYFAIR RD SUITE 300, MILWAUKEE, WI 53226
Registered with this firm since 9/1/2023
Previous Registration(s)
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IA
 11/10/2017 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) MILWAUKEE, WI
B
 11/10/2017 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) MILWAUKEE, WI
IA
 03/25/2017 - 11/14/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) Milwaukee, WI
B
 03/25/2017 - 11/14/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) Milwaukee, WI
IA
 03/25/2010 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Milwaukee, WI
B
 07/19/2007 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Milwaukee, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.