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Louis Isaac Dagen

Louis I. Dagen

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CRD#: 2176866
Louis Isaac Dagen

Professional summary

Louis Isaac Dagen, AIF®, CFP® was a registered financial advisor .

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Louis had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?
Inheritance
Comprehensive Financial Planni...
Social Security Planning
Budgeting
Retirement Planning
Estate Planning
Education Planning
Socially Responsible Investing
Divorce Planning
Debt Management
Retirement Income Management
Tax Planning
Life Transitions
Business Succession Planning
Investment Planning
Elder Care
Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Isaac Dagen'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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 1997

Experience

Past

September 14, 2018 - December 31, 2025

AUSPICIOUS FINANCIAL PLANNING, LLC

RIA
CRD#: 297962
SAN RAMON, CA
Past

February 5, 2014 - September 18, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SAN RAMON, CA
Past

February 4, 2014 - September 18, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SAN RAMON, CA
Past

February 9, 2009 - February 4, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
WALNUT CREEK, CA
Past

February 6, 2009 - February 4, 2014

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
WALNUT CREEK, CA
Past

November 6, 1998 - February 26, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN FRANCISCO, CA
Past

July 31, 1993 - February 26, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN FRANCISCO, CA
Past

September 24, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
AF
AUSPICIOUS FINANCIAL PLANNING, LLC
AUSPICIOUS FINANCIAL PLANNING | AUSPICIOUS FINANCIAL PLANNING, LLC

CRD#: 297962 / SEC#: 801-113980

RIA
Registered Investment Advisory firm - (9/14/2018 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.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(9/18/2018)
IAR
Texas
(9/14/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 2/25/1994
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 15
Date: 2/4/1994
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 3
Date: 10/29/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/3/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/20/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

AF
AUSPICIOUS FINANCIAL PLANNING, LLC
AUSPICIOUS FINANCIAL PLANNING | AUSPICIOUS FINANCIAL PLANNING, LLC

CRD#: 297962 / SEC#: 801-113980

RIA
Registered Investment Advisory firm - (9/14/2018 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2603 Camino Ramon Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 355-1200
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/12/2025)
FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts614
AUM (Assets Under Management)$ 274,050,000

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.

Company Information

AUSPICIOUS FINANCIAL PLANNING, LLC

CRD#: 297962

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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