Joel E. Kocen

THE KOCEN FINANCIAL GROUP

RANCHO MIRAGE, CA 92270

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CRD#: 1306954

Professional summary

Joel Evan Kocen is a registered financial advisor currently at THE KOCEN FINANCIAL GROUP, INC. located in Rancho Mirage, California.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joel has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) Financial Goal Securities, Inc.; Rancho Mirage, CA; Investment-Related; Since 12/1990; Principal; Firm is a Broker-Dealer; Devote 10 hours/week to this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Evan Kocen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 17, 2003 - Present

THE KOCEN FINANCIAL GROUP, INC.

Office #1: 35-900 Bob Hope Drive, Ste. 202, Rancho Mirage, CA 92270

RIA

CRD#: 112129

RANCHO MIRAGE, CA

Past

April 10, 1987 - August 2, 2024

FINANCIAL GOAL SECURITIES, INC.

CRD#: 19066

RANCHO MIRAGE, CA

Past

July 8, 1985 - April 10, 1987

SHEARWATER SECURITIES CORPORATION

CRD#: 13103

Past

October 26, 1984 - July 5, 1985

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE KOCEN FINANCIAL GROUP, INC.

CRD#: 112129 / SEC#: 801-64553

RIA

Registered Investment Advisory firm - (7/21/2005 Approved)

California

Registered Investment Advisory firm - (7/22/2005 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/3/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/17/2003)

IAR

Texas
(4/7/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/24/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/24/1986

General Securities Principal Examination

Current Firm

THE KOCEN FINANCIAL GROUP, INC.

CRD#: 112129 / SEC#: 801-64553

RIA

Registered Investment Advisory firm - (7/21/2005 Approved)

California

Registered Investment Advisory firm - (7/22/2005 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/3/2005 Terminated)

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Contact information

Main Address

35900 Bob Hope Dr., Suite 202, Rancho Mirage, CA 92270-1767

Mailing Address

Phone number

(760) 324-4015

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2 BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	721
AUM (Assets Under Management)	$ 163,386,599

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Joel E. Kocen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Evan Kocen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL GOAL SECURITIES, INC.

SHEARWATER SECURITIES CORPORATION

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

THE KOCEN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 27

Date: 6/24/2000

Series 24

Date: 12/24/1986

Current Firm

THE KOCEN FINANCIAL GROUP, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE KOCEN FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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