Michael J. Kocsis
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.
Michael Jerome Kocsis, who also goes by Michael J Kocsis, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - December 31, 2016
LINCOLN DOUGLAS INVESTMENTS, LLC
February 17, 2012 - December 31, 2016
LINCOLN DOUGLAS INVESTMENTS, LLC
September 4, 2007 - February 17, 2012
B. RILEY WEALTH MANAGEMENT
August 30, 2007 - February 17, 2012
B. RILEY WEALTH MANAGEMENT
August 9, 2005 - September 4, 2007
A. G. EDWARDS & SONS, INC.
July 21, 2000 - September 4, 2007
A. G. EDWARDS & SONS, INC.
July 17, 1998 - August 11, 2000
WELLS FARGO CLEARING SERVICES, LLC
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
LINCOLN DOUGLAS INVESTMENTS, LLC
CRD#: 155578 / SEC#: 801-72438, 8-68728
Contact information
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 199 |
| AUM (Assets Under Management) | $ 97,644,384 |
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.
