Joel KocenCRD Number: 1306954
Current Firm: The Kocen Financial Group, Inc.
Joel Kocen (CRD# 1306954) is an Investment Advisor Representative working at The Kocen Financial Group, Inc. in Rancho Mirage, CA and has over 31 years of experience in the finance industry.
Centaurus Financial, Inc.
Balboa Wealth Partners, Inc.
First Heartland Consultants, Inc.
|The Kocen Financial Group||Rancho Mirage, CA||Feb 1991 - Current||27|
|Financial Goal Securities, Inc.||Rancho Mirage, CA||Dec 1986 - Current||31|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1987|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management148MILLIONS
Total Number of Accounts990ACCOUNTS
Average Account Value$149,739
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
CA, MA, PA, TX, UT