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Detailed Report
BRYAN STUART KOCEN
CRD#: 2119036
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Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
THE KOCEN FINANCIAL GROUP, INC.CRD#: 112129 35-900 BOB HOPE DRIVE, STE. 202
RANCHO MIRAGE, CA 92270
Registration History
1995200020052010201520202025IATHE KOCEN FINANCIAL GROUP, INC. (CRD# 112129)2003 - Present (22 years)BFINANCIAL GOAL SECURITIES, INC. (CRD# 19066)1991 - 2024 (33 years)
Disclosure(s)
View By:
5/28/2024
Regulatory
Final
5/28/2024
Employment Separation After Allegations
1/21/1999
Customer Dispute
Award / Judgment
License(s)

State Registrations

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California 1/7/2003
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Texas 5/6/2014
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Pennsylvania 1/14/2003
Current Registration(s)
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THE KOCEN FINANCIAL GROUP, INC. (CRD#:112129)
35-900 BOB HOPE DRIVE, STE. 202, RANCHO MIRAGE, CA 92270
Registered with this firm since 1/7/2003
Previous Registration(s)
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 01/18/1991 - 05/28/2024 FINANCIAL GOAL SECURITIES, INC. (CRD#:19066) RANCHO MIRAGE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.