Robert A. Ogden
GOLDEN STATE WEALTH MANAGEMENT
Santa Maria, CA 93454
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CRD#: 1317619
Professional summary
Robert Alan Ogden, CFP®, who also goes by Bob Ogden, is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in Santa Maria, California and LPL FINANCIAL LLC located in Santa Maria, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 24 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Ogden
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.10/10/2003: No Business Name--Investment Related--At Reported Business Location(s)--Non-Variable Insurance. 2.8/23/2005: ROBERT A. OGDEN & ASSOCIATES FINANCIAL SERVICES--Investment Related--At Reported Business Location(s)--Non-Variable Insurance DBA. 3.12/11/2008: OGDEN WEALTH MANAGEMENT AND PLANNING SERVICES--Investment Related--At Reported Business Location(s)--Non-Variable Insurance DBA. 4.4/22/2009:Robert A. Ogden, CPA--At Reported Business Location(s)--CPA/Bookkeeper/Tax Preparer--Time Spent 20%--CPA services provided. 5.8/29/2013:Ogden Wealth--Investment Related--At Reported Business Location(s)--DBA for LPL Business (entity for LPL business)--Used for email domain name purposes (...@ogdenwealth.com). 6.10/16/2019:Golden State Wealth Management, LLC--Investment related--At reported business location(s)--Registered Investment Advisor Hybrid--start date:03/01/2019--150 hrs/mo--120 hrs during trading--IAR--I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in October 2019. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7.10/16/2019:Golden State Wealth Management, LLC--DBA:Ogden Wealth Management & Planning Services--Investment related--At reported business location(s)--Registered Investment Advisor DBA--start date:03/01/2019--150 hrs/mo--120 hrs during trading--IAR--I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in October 2019. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8.11/5/2019:Golden State Wealth Management, LLC--DBA: Ogden Wealth Management--Investment related--At reported business location(s)--Registered Investment Advisor Hybrid--start date:3/1/2019--150 hrs/mo--110 hrs during trading--I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in October 2019. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9.1/25/2022:Golden State Asset Management, LLC ' DE--Investment Related--At Reported Business Location(s)--Registered Investment Advisor DBA--Started 12/21/2021--Time Spent 2%--I provide investment advisory services through Golden State Asset Management, LLC `DE, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 0 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business...
CRS (Client Relationship Summary) - RIA
Click below to view Robert Alan Ogden's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2001
Experience
Current
February 19, 2019 - Present
GOLDEN STATE WEALTH MANAGEMENT, LLC
Office #1: 411 E. Betteravia Road #101, Santa Maria, CA 93454RIA
CRD#: 167995
Santa Maria, CA
Current
January 7, 2002 - Present
LPL FINANCIAL LLC
Office #1: 411 E Betteravia Rd Ste 101, Santa Maria, CA 93454-7883RIA
BD
CRD#: 6413
Santa Maria, CA
Past
April 19, 2013 - February 15, 2019
OGDEN WEALTH MANAGEMENT & PLANNING SERVICES, LLC
RIA
CRD#: 166164
SANTA MARIA, CA
Past
January 29, 2002 - November 2, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 9, 1998 - January 11, 2002
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
September 17, 1998 - December 8, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 8, 1985 - September 15, 1986
VESTCAP SECURITIES CORPORATION
BD
CRD#: 10008
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/16/2013)
RR
California(1/7/2002)
IAR
California(2/19/2019)
RR
Florida(1/7/2002)
RR
Idaho(6/20/2016)
RR
Nevada(5/23/2025)
RR
New Jersey(3/7/2022)
RR
Ohio(11/25/2020)
RR
Oregon(1/7/2002)
RR
Tennessee(5/5/2021)
RR
Texas(11/19/2015)
RR
Virginia(9/17/2002)
RR
Washington(4/7/2004)
RR
Wyoming(1/7/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707
Mailing Address
Phone number
(866) 273-1563
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GOLDEN STATE WEALTH MANAGEMENT, LLC
CRD#: 167995Santa Maria, CA 93454TRUST BUT VERIFY
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