Jo Ann Kocen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jo Ann Kocen, who also goes by Jo Ann Pollack Kocen, Jo Ann . Kocen, was a registered financial professional .
Jo Ann is a previously registered financial professional and started their career in finance in 1984. Jo Ann had worked at 4 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 1991 - December 14, 2023
THE KOCEN FINANCIAL GROUP, INC.
April 10, 1987 - February 19, 2014
FINANCIAL GOAL SECURITIES, INC.
June 24, 1985 - April 10, 1987
SHEARWATER SECURITIES CORPORATION
October 26, 1984 - June 19, 1985
AMERICAN PACIFIC SECURITIES CORPORATION
Primary Firm SEC Registration
THE KOCEN FINANCIAL GROUP, INC.
CRD#: 112129 / SEC#: 801-64553
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE KOCEN FINANCIAL GROUP, INC.
CRD#: 112129 / SEC#: 801-64553
Contact information
SEC notice filing (5 States and Territories)
Documents
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.
