Michael Koch, CRCP®
Chief Compliance Officer
Michael is the Firm’s Chief Compliance officer. He has spent his entire adult life (except for one weak moment selling soap for Lever Brothers) working in the Financial Services Industry. He began as an Examiner for the NASD (now known as FINRA) and quickly began to distinguish himself by simply doing what he was supposed to do–his work. His goal has always been to complete things before they were due as evidenced by continually completing his entire year’s examination work by July.
This commitment and dedication followed him as he transitioned to the industry side and began helping firms comply with the same rules he used to enforce. Throughout his career, Michael has served as the Chief Compliance Officer for multiple firms, first with Broker/Dealers then with Investment Advisers as he broadened his experience and expertise. About two thirds of the way through his career in 2009, Michael was blessed to discover consulting and has been engaged there ever since. In 2013, he became an entrepreneur and opened DNM Consulting, LLC to focus on providing compliance support services to both Investment Advisers and Broker/Dealers.
Along with copious amounts of on the job training, Michael also received his Masters of Business Administration (MBA) in Finance from the University of Texas at Arlington to go along with his Bachelor of Business Administration (BBA) from the University of Texas at San Antonio. He also completed the Certified Regulatory and Compliance Professional (CRCP) certification from the Wharton School of Business and FINRA. He is an active member of the National Society of Compliance Professionals (NSCP), and has passed numerous licensing examinations throughout his career including the Series 4, 7, 24, 51, 53, 55, 63, 66 and 99.
Most importantly, Michael is a dedicated father to his four kids and two dogs who works very hard to always be present with them when he is with them. He is very active at New Hope Church where he leads two men’s Life Groups and is part of the Prayer ministry. He has been active in homeless ministry for years and finds much fulfillment in serving those in need. He has also travelled to Haiti on numerous mission trips over the years.
Michael is an avid reader balancing his love of military fiction with a passion for spiritual learning and study.