LK
Laurence M. Kagan
KAGAN COCOZZA ASSET MANAGEMENT
Wynnewood, PA
Some features on this profile are disabled
CRD#: 5298126
LK
Professional summary
Laurence Michael Kagan, who also goes by Laurence Kagan, is a registered financial advisor currently at KAGAN COCOZZA ASSET MANAGEMENT located in Wynnewood, Pennsylvania.
Laurence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Laurence has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laurence Kagan
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) Weitz Law Firm LLC; not investment related; 1515 Market Street, Suite 1100, Philadelphia, PA. 19102; Law Firm; Attorney; Start date: 01/2022; 2 hours a month; None during security hours. 2) CCSA, Inc.; not investment related; 4533 Lincoln Highway, Downingtown, PA. 19096; Shareholder; Start date: 03/2022; 10 hours a month; None during security hours. 3) Campus Holdings, LLC; not investment related; 4533 Lincoln Highway, Downingtown, PA. 19096; Real Estate; Start date: 03/2022; 10 hours a month, 2 during security hours
CRS (Client Relationship Summary) - RIA
Click below to view Laurence Michael Kagan'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®
NoneExperience
Current
July 20, 2010 - Present
KAGAN COCOZZA ASSET MANAGEMENT
Office #2: 200 Barr Harbor Drive Ste., West Conshohocken, PA 19428RIA
CRD#: 154321
Wynnewood, PA
Past
July 20, 2010 - December 19, 2012
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
MICKLETON, NJ
Past
June 29, 2007 - July 22, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PHILADELPHIA, PA
Past
May 17, 2007 - July 22, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PHILADELPHIA, PA
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".
KC
KAGAN COCOZZA ASSET MANAGEMENT
KAGAN COCOZZA ASSET MANAGEMENT | KC ASSET MANAGEMENT, INC.
CRD#: 154321 / SEC#: 801-131547
RIA
Registered Investment Advisory firm - (11/29/2024 Approved)New Jersey
Registered Investment Advisory firm - (12/10/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/11/2024 Terminated)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
New Jersey(7/27/2010)
IAR
Pennsylvania(7/20/2010)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
KC
KAGAN COCOZZA ASSET MANAGEMENT
KAGAN COCOZZA ASSET MANAGEMENT | KC ASSET MANAGEMENT, INC.
CRD#: 154321 / SEC#: 801-131547
RIA
Registered Investment Advisory firm - (11/29/2024 Approved)New Jersey
Registered Investment Advisory firm - (12/10/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/11/2024 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Mickleton, NJ
Mailing Address
408 Swedesboro Rd Suite B, Mullica Hill, NJ 08062
Phone number
(484) 334-8201
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 419 |
| AUM (Assets Under Management) | $ 139,762,283 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/01/2025 |
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.
