Joshua J. Kocher

MOVEUP FINANCIAL LLC

Austin, TX

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CRD#: 4317327

Professional summary

Joshua John Kocher is a registered financial advisor currently at MOVEUP FINANCIAL LLC located in Austin, Texas.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joshua has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 21, Series 25 and Series 7 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.

UNIVERSITY OF TEXAS; NON-INVESTMENT RELATED; AUSTIN, TX; LECTURER; SPENDS APPROX. 20-25 HRS/WEEK, 1 HR DURING MARKET HOURS; LECTURER IN THE FINANCE DEPT FOR AN INTRO INTO BUSINESS COURSE. TEXAS MCCOMBS INVESTMENT ADVISERS; INVESTMENT RELATED; AUSTIN, TX; CHIEF EXECUTIVE OFFICER; SPENDS APPROX. 2O HRS/WEEK DURING TRADING; GUIDE, MENTOR, AMANGE AND SUPERVISE THE STUDENT PARTICIPANTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua John Kocher's 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

December 19, 2020 - Present

MOVEUP FINANCIAL LLC

RIA

CRD#: 311423

Austin, TX

Past

August 18, 2009 - August 11, 2010

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

November 4, 2002 - May 2, 2007

SIG SPECIALISTS, INC.

CRD#: 21831

NEW YORK, NY

Past

January 18, 2001 - November 6, 2002

SAL EQUITY TRADING, GP

CRD#: 29337

BALA CYNWYD, PA

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

Texas
(12/19/2020)

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

IAR

Series 65

Date: 1/31/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/22/2019

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 9/15/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 21

Date: 9/9/2003

NYSE Front Line Specialist Clerk

General Industry/Product Exam

Series 25

Date: 2/24/2003

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 1/17/2001

General Securities Representative Examination

Current Firm

MOVEUP FINANCIAL LLC

CRD#: 311423 / SEC#:

New Jersey

Registered Investment Advisory firm - (10/31/2022 Terminated)

New York

Registered Investment Advisory firm - (10/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/19/2020 Approved)

Virginia

Registered Investment Advisory firm - (10/25/2022 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).

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Contact information

Main Address

Austin, TX

Mailing Address

5900 Balcones Dr Suite 100, Austin, TX 78731

Phone number

(512) 470-5862

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 3,432,984

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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Joshua J. Kocher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua John Kocher's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

SIG SPECIALISTS, INC.

SAL EQUITY TRADING, GP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2020

Series 63

Date: 9/1/2009

Series 3

Date: 11/22/2019

Series 55

Date: 9/15/2009

Series 21

Date: 9/9/2003

Series 25

Date: 2/24/2003

Series 7

Date: 1/17/2001

Current Firm

MOVEUP FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MOVEUP FINANCIAL LLC

TRUST BUT VERIFY

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