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Gail Gordon Kocen

THE KOCEN FINANCIAL GROUP, INC.·RANCHO MIRAGE, California
SIE, Series 7, Series 24, Series 63CFP27 years registeredTHE KOCEN FINANCIAL GROUP, INC.
35900 BOB HOPE DR., SUITE 202, RANCHO MIRAGE, CA 92270-1767CRD# 2259803Firm CRD# 112129

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Gail Gordon Kocen · RANCHO MIRAGE, CA
Registration
CRD #2259803 · THE KOCEN FINANCIAL GROUP, INC. · 27 years registered
Brand Profile
Not yet started
01

Career History

No current investment adviser registration
Last registered firm: THE KOCEN FINANCIAL GROUP, INC.
THE KOCEN FINANCIAL GROUP, INC.
Jul 1999 – Oct 2018
RANCHO MIRAGE, CA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 63
Registration record
First registered · July 8, 1999
Years registered · 27
Professional designation · CFP
03

Disclosure History

2018Judgment / Lien
1999Customer Dispute·Award / Judgment

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. 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 Gail Gordon Kocen offer?
Gail Gordon Kocen specializes in Financial Planning, Investment Management.
What are Gail Gordon Kocen's credentials?
Gail Gordon Kocen holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Gail Gordon Kocen located?
Gail Gordon Kocen is based in RANCHO MIRAGE, California, last registered with THE KOCEN FINANCIAL GROUP, INC..
How does Gail Gordon Kocen charge for services?
Gail Gordon 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.

Bryan Stuart Kocen
RANCHO MIRAGE, CA
David Tsikman
RANCHO MIRAGE, CA

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