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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)17 years in industry

BRIAN WAYNE KOCH

Advisor at RBC CAPITAL MARKETS, LLC

SIOUX FALLS, SD | Sioux Falls, SD

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Search this name across graphsid dfx:ria:86dfda61-c8e9-3b42-d8ca-b84e4b358ee6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 15, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 21, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S66
First exam: Jul 21, 2009
First registration: Oct 15, 2009
Dual registered: yes, broker-dealer
Other names: KOOKER
IAPD individual key: 1521375

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	May 13, 2019	n/a	yes	SIOUX FALLS, SD\|Sioux Falls, SD	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	May 20, 2019	no	MANKATO, MN\|MANKATO, MN\|MINNEAPOLIS, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Sep 14, 2010	Jan 3, 2011	no	MANKATO, MN	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 15, 2009	Sep 15, 2010	no	Mankato	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	May 20, 2019	May 13, 2019	-7	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
SECURITIES AMERICA ADVISORS, INC.	WELLS FARGO INVESTMENTS, LLC	Sep 15, 2010	Sep 14, 2010	-1	Firm change	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
May 13, 2019 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to May 20, 2019factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 14, 2010 to Jan 3, 2011factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 15, 2009 to Sep 15, 2010factForm ADV

Dated events

No dated event names this entity yet.