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Bryan Stuart Kocen

THE KOCEN FINANCIAL GROUP, INC.·RANCHO MIRAGE, California
SIE, Series 7, Series 14, Series 24, Series 27, Series 63, Series 65, Series 99TO23 years registeredTHE KOCEN FINANCIAL GROUP, INC.
35900 BOB HOPE DR., SUITE 202, RANCHO MIRAGE, CA 92270-1767CRD# 2119036Firm CRD# 112129

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Bryan Stuart Kocen · RANCHO MIRAGE, CA
Registration
CRD #2119036 · THE KOCEN FINANCIAL GROUP, INC. · 23 years registered
Brand Profile
Not yet started
01

Career History

THE KOCEN FINANCIAL GROUP, INC.
Jan 2003 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 14
Series 24
Series 27
Series 63
Series 65
Series 99TO
Registration record
First registered · January 7, 2003
Years registered · 23
03

Disclosure History

2024Employment Separation After Allegations
2024Regulatory·Final
1999Customer Dispute·Award / Judgment

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
THE KOCEN FINANCIAL GROUP, INC.
CRD 112129 · SEC 801-64553
AUM
$140M
Regulatory assets under management
Employees
5
725 client accounts
Services offered by THE KOCEN FINANCIAL GROUP, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at THE KOCEN FINANCIAL GROUP, INC. →
Introduction

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05

Frequently Asked Questions

What services does Bryan Stuart Kocen offer?
Bryan Stuart Kocen specializes in Financial Planning, Investment Management. Contact their office in RANCHO MIRAGE, California for a consultation.
What are Bryan Stuart Kocen's credentials?
Bryan Stuart Kocen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Bryan Stuart Kocen located?
Bryan Stuart Kocen is based in RANCHO MIRAGE, California, working with THE KOCEN FINANCIAL GROUP, INC.. Their office serves clients in the RANCHO MIRAGE metropolitan area and surrounding communities.
How does Bryan Stuart Kocen charge for services?
Bryan Stuart Kocen's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is THE KOCEN FINANCIAL GROUP, INC.?
THE KOCEN FINANCIAL GROUP, INC. has approximately 5 employees and manages $140M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at THE KOCEN FINANCIAL GROUP, INC.

Gail Gordon Kocen
RANCHO MIRAGE, CA
CFP
David Tsikman
RANCHO MIRAGE, CA

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