MC
Michael T. Cocozza
KAGAN COCOZZA ASSET MANAGEMENT
WEST CONSHOHOCKEN, PA 19428
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CRD#: 5305966
MC
Professional summary
Michael Timothy Cocozza, who also goes by Mixchael Timothy Cocozza, is a registered financial advisor currently at KAGAN COCOZZA ASSET MANAGEMENT located in West Conshohocken, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Mickleton, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mixchael Timothy Cocozza
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) KAGAN COCOZZA ASSET MANAGEMENT. Investment Related. RIA. Co-President. 49 Curtmantle Road, Mickleton NJ AND 200 Barr Harbor Drive, West Conshohucken PA. Start 7/23/2010. 30 hours per week, 25 during trading. Responsible for client investment and planning. 2) PKS FINANCIAL SERVICES. Not Investment Related. 80 State Street, Albany NY 12207. Insurance. Agent. Start 7/20/2010. 3 hours per month during trading. 3) FIXED INSURANCE SALES. Not Investment Related. 49 Curtmantle Road, Mickleton NJ 08056. Start 11/2015. 3 hours per month during trading. 4) PERSONAL REAL ESTATE INVESTMENTS. Not Investment Related. Multiple investment properties owned and managed solely by Michael Cocozza. Start 4/2015. 20 hours per month, 4 hours during trading. 5) COCO & SKIN REAL ESTATE, LLC. Not Investment Related. 49 Curtmantle Road, Mickleton, NJ 08056. Real Estate Rentals. Owner. 02/2017. 2 Hrs/Mo; 0 During Trading Hours. Own and Manage Rental Properties.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Timothy Cocozza'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 #1: 200 Barr Harbor Drive Ste., West Conshohocken, PA 19428RIA
CRD#: 154321
WEST CONSHOHOCKEN, PA
Current
July 20, 2010 - Present
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
MICKLETON, NJ
Past
April 11, 2007 - July 22, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PHILADELPHIA, PA
Past
March 28, 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/29/2010)
RR
Florida(3/1/2013)
RR
Nebraska(2/8/2011)
RR
New Jersey(7/20/2010)
IAR
New Jersey(7/27/2010)
RR
New York(7/20/2010)
RR
Pennsylvania(7/20/2010)
IAR
Pennsylvania(7/20/2010)
IAR
Texas(5/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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
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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
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