Mankato, MN (September 4, 2017) – Discipline Advisors is pleased to add Chief Compliance Officer, Michael Koch, to their firm. Koch has over 33 years of experience in financial services and will be responsible for all compliance oversight and supervision of the activities at DAI.
“We are thrilled to add Michael to our team,” said Christine Michaletz, Chief Operating Officer for DAI. “He fits well with the DAI culture that embraces a client first mentality.”
He began his career with the National Association of Securities Dealers (NASD) which is now known as FINRA, the self regulatory organization which oversees the broker/dealer community. During his career, Koch has been a chief compliance officer and senior compliance person for numerous firms, served with multiple regulatory agencies and started his own, successful compliance consulting company.
Koch is a graduate of the University of Texas at San Antonio with a Bachelor of Business Administration in Finance and he received his MBA from the University of Texas at Arlington in Finance and has completed coursework through FINRA and the Wharton School of Business. He currently holds the series 7, 24, 63, 66 and 99 licenses.
DAI is a wealth management firm that advocates for clients at every opportunity and strives to deliver focused advice and valuable guidance. They serve individuals and families of significant wealth providing personalized, integrated investment strategies and management, trusts and estate planning, wealth planning and family office support. Their unique approach and unwavering commitment to utilize all available resource helps clients achieve peace of mind related to their future and financial well-being. For more information visit www.disciplineadvisors.com.
Securities offered through Lewis Financial Group, L.C. (LFG), member FINRA/SIPC. Advisory services offered through Discipline Advisors, Inc., an SEC Registered Investment Adviser. Insurance products offered through J.G. Michaletz Agency, Inc. Discipline Advisors, Inc., J.G. Michaletz Agency, Inc. and LFG are separate, but affiliated, entities.