AdFi
JM

John Michael Koth

Investment Adviser Representative at OSAIC INSTITUTIONS, INC.

Westfield, INCRD #1760032Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
1 states
Exams Passed
12

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Indiana
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/18/2023
Series 65
Uniform Investment Adviser Law Examination
Passed 6/28/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 10/22/1987
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/21/1987
Series 14
Compliance Officer Examination
Passed 8/15/2007
Series 27
Financial and Operations Principal Examination
Passed 2/18/1997
Series 53
Municipal Securities Principal Examination
Passed 10/28/1993
Series 4
Registered Options Principal Examination
Passed 10/26/1992
Series 24
General Securities Principal Examination
Passed 9/30/1991

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Account minimum: $5,500

Firm-stated minimum; may be waived at the firm's discretion.

Source

Osaic Institutions, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC INSTITUTIONS, INC.Current
12/19/2023Westfield, IN
OSAIC INSTITUTIONS, INC.Current
11/18/2014Westfield, IN
INVESTMENT PLANNERS, INC.
1/9/201311/25/2013Decatur, IL
ANDERSON & STRUDWICK, INCORPORATED
8/29/201112/15/2011Richmond, VA
BLACK DIAMOND SECURITIES LLC
8/26/20108/19/2011Kirkland, WA
DAVENPORT & COMPANY LLC
6/26/20075/19/2009Richmond, VA
USA ADVANCED PLANNERS INC.
4/28/200610/23/2006Grand Rapids, MI
CATHOLIC FINANCIAL SERVICES CORPORATION
4/24/20014/13/2006Milwaukee, WI
PRUCO SECURITIES CORPORATION
3/22/19995/2/2001Newark, NJ
FIRSTAR INVESTMENT SERVICES,INC.
5/15/19983/10/1999Morris Plains, NJ
FIRST OF AMERICA BROKERAGE SERVICE, INC.
2/15/19965/8/1998Cleveland, OH
FIRST OF AMERICA BROKERAGE SERVICE, INC.
8/21/19892/21/1994Cleveland, OH
THE STUART-JAMES COMPANY, INC.
11/25/19871/15/1988

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Michael Koth has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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