Bryan P. Bogen

SPECTRUM FINANCIAL STRATEGIES

HAMDEN, CT 06518

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CRD#: 2114891

Professional summary

Bryan Paul Bogen, CFP®, who also goes by Bryan P Bogen, is a registered financial advisor currently at SPECTRUM FINANCIAL STRATEGIES INC located in Hamden, Connecticut and CETERA INVESTMENT ADVISERS LLC located in Hamden, Connecticut.

Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Bryan has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bryan P Bogen

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) SPECTRUM FINANCIAL STRATEGIES INC. IARD #106419 - 2525 WHITNEY AVE, HAMDEN CT 06518; PRESIDENT; TAX PREPARATION - SALE OF INSURANCE PRODUCTS - COMPENSATION IS COMMISSIONS AND FEES. 160 HRS A MONTH ALL DURING TRADING HOURS; (2) NAME OF OTHER BUSINESS: TAJ ENTERPRISES, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE: 06/2006, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: HOLDS OFFICE BUILDING FOR EXPENSE MANAGEMENT ; (3) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bryan Paul Bogen's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1994

Experience

Current

July 10, 1995 - Present

SPECTRUM FINANCIAL STRATEGIES INC

Office #1: 2525 Whitney Avenue, Hamden, CT 06518

RIA

CRD#: 106419

HAMDEN, CT

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2525 Whitney Ave, Hamden, CT 06518

RIA

CRD#: 105644

HAMDEN, CT

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2525 Whitney Ave, Hamden, CT 06518

CRD#: 13572

HAMDEN, CT

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

September 17, 2012 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

HAMDEN, CT

Past

September 17, 2012 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

HAMDEN, CT

Past

January 24, 2002 - October 4, 2012

DOMINARI SECURITIES LLC

RIA

CRD#: 18975

HAMDEN, CT

Past

June 6, 1994 - October 4, 2012

DOMINARI SECURITIES LLC

CRD#: 18975

HAMDEN, CT

Past

February 8, 1993 - June 13, 1994

COBURN & MEREDITH, INC.

CRD#: 164

SIMSBURY, CT

Past

October 4, 1991 - February 17, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

October 4, 1991 - February 17, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Arizona
(1/6/2023)

California
(9/2/2021)

IAR

Connecticut
(7/10/1995)

Connecticut
(9/20/2019)

District of Columbia
(1/7/2020)

Florida
(9/23/2019)

Georgia
(1/2/2025)

Hawaii
(9/20/2019)

Massachusetts
(9/20/2019)

New Mexico
(9/20/2019)

North Carolina
(9/20/2019)

Pennsylvania
(9/20/2019)

South Carolina
(9/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/17/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/2/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 11/2/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/18/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Bryan P. Bogen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bryan Paul Bogen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

DOMINARI SECURITIES LLC

DOMINARI SECURITIES LLC

COBURN & MEREDITH, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/1995

Series 63

Date: 2/4/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/2/1991

Series 27

Date: 11/2/1994

Series 24

Date: 2/18/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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