Steven D. Hocheiser
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.
Steven Douglas Hocheiser was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2006. Steven had worked at 4 firms and has passed the Series 65, Series 66, 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
January 20, 2023 - October 30, 2023
FACTOR INVESTING GROUP
February 2, 2016 - June 2, 2022
CERES FINANCIAL GROUP, INC.
September 26, 2013 - December 4, 2017
OSAIC WEALTH, INC.
February 2, 2006 - October 3, 2011
SOURCE CAPITAL GROUP, INC.
Primary Firm SEC Registration
FACTOR INVESTING GROUP
CRD#: 315131 / SEC#: 801-121821
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
FACTOR INVESTING GROUP
CRD#: 315131 / SEC#: 801-121821
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 914 |
| AUM (Assets Under Management) | $ 309,527,063 |
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.
