Bryan Kocen has been President of The Kocen Financial Group since January 1991, is a control person of the firm and directly owns under 5% of it. Bryan Kocen holds an MBA in Finance from The University of Chicago Booth School of Business and a BA in Managerial Economics from Union College.
The Kocen Financial Group, Inc. is a Rancho Mirage, CA firm with $186M under management, 222 clients and 5 advisers in one office, as of its March 2026 filing.
Bryan Kocen founded The Kocen Financial Group, Inc. Before founding the firm, he was an Institutional Credit Analyst with Bear Stearns and Company, General Partner Associate with The Cerulean Fund, and Vice President of The Bankers Consulting Group, Inc. He is past President of The Alliance of Independent Broker Dealers.
- – present · 23 yearsRancho Mirage, CA · Adviser representative · Firm CRD 112129
Investment adviser representative registrations
Bryan Kocen is registered as an investment adviser representative in 3 states, as a resident of California and Texas. The first approvals date from January 2003; the most recent is Texas, in May 2014.
- CaliforniaResidentSince 7 January 2003
- PennsylvaniaSince 14 January 2003
- TexasResidentSince 6 May 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 14 April 1999 |
| Series 27 | Financial and Operations Principal Examination | 3 February 1993 |
| Series 24 | General Securities Principal Examination | 2 August 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 February 1991 |
| Series 7 | General Securities Representative Examination | 17 January 1991 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Bryan Stuart Kocen
- CRD
- 2119036
- Firm
- The Kocen Financial Group · CRD 112129
- Role
- President
- Office
- 35-900 BOB HOPE DRIVE, STE. 202, Rancho Mirage, CA 92270
- Registration
- Investment adviser registration
- In the industry since
- January 1991
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- kfginc.com
Where does Bryan Kocen work?
Bryan Kocen has been President of The Kocen Financial Group, Inc. since January 1991, and is a control person of the firm.
Is Bryan Kocen a financial advisor?
Yes. Bryan Kocen has a current investment-adviser registration in California, Pennsylvania and Texas, through The Kocen Financial Group since January 2003.
How many years of experience does Bryan Kocen have?
Bryan Kocen has 35 years in the financial industry, since January 1991, across 1 adviser firm.
What exams has Bryan Kocen passed?
Bryan Kocen has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 27, Series 65, Series 14 and Series 99TO. The earliest, the Series 7, was passed in January 1991. FINRA credited Bryan Kocen with the SIE, which began in October 2018.
Where is Bryan Kocen based?
Bryan Kocen’s registered office is in Rancho Mirage, CA.
Is Bryan Kocen registered with FINRA?
No. Bryan Kocen has no current broker registration.
How can I verify Bryan Kocen’s record?
Search CRD 2119036 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Bryan Kocen’s full registration record.