Joel Kocen has been an investment adviser representative at The Kocen Financial Group since November 2003, and is not listed among the firm’s executive officers or direct owners.
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.
- – present · 22 yearsRancho Mirage, CA · Adviser representative · Firm CRD 112129
Investment adviser representative registrations
Joel Kocen is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from November 2003; the most recent is Texas, in April 2014.
- CaliforniaSince 17 November 2003
- TexasResidentSince 7 April 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 24 June 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 February 1987 |
| Series 24 | General Securities Principal Examination | 24 December 1986 |
| Series 7 | General Securities Representative Examination | 20 October 1984 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Joel Evan Kocen
- CRD
- 1306954
- Firm
- The Kocen Financial Group · CRD 112129
- Office
- 35-900 BOB HOPE DRIVE, STE. 202, Rancho Mirage, CA 92270
- Registration
- Investment adviser registration
- In the industry since
- October 1984
- Disciplinary history
- Not yet shown here · SEC record
Where does Joel Kocen work?
Joel Kocen is an investment adviser representative registered through The Kocen Financial Group, Inc. since November 2003, and is not listed among the firm’s executive officers or direct owners.
Is Joel Kocen a financial advisor?
Yes. Joel Kocen has a current investment-adviser registration in California and Texas, through The Kocen Financial Group since November 2003.
How many years of experience does Joel Kocen have?
Joel Kocen has 41 years in the financial industry, since October 1984, across 1 adviser firm.
What exams has Joel Kocen passed?
Joel Kocen has passed 5 licensing exams: the Series 7, Series 24, Series 63, Series 27 and Series 99TO. The earliest, the Series 7, was passed in October 1984. FINRA credited Joel Kocen with the SIE, which began in October 2018.
Where is Joel Kocen based?
Joel Kocen’s registered office is in Rancho Mirage, CA.
Is Joel Kocen registered with FINRA?
No. Joel Kocen has no current broker registration.
How can I verify Joel Kocen’s record?
Search CRD 1306954 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joel Kocen’s full registration record.
