Louis I. Dagen

AUSPICIOUS FINANCIAL PLANNING

San Ramon, CA 94583

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CRD#: 2176866

Professional summary

Louis Isaac Dagen, AIF®, CFP® is a registered financial advisor currently at AUSPICIOUS FINANCIAL PLANNING, LLC located in San Ramon, California.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Louis has 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.

LOUIS I. DRAGEN, CFP, CHFC, WMS, CEP; SAN RAMON, CA; SUPPORT COMPANY/DBA (OWNER); NOT INVESTMENT RELATED; 02/2014-PRESENT; 0 HOURS PER MONTH, 0 HOURS DURING TRADING; OWNER AND INDEPENDENT CERTIFIED FINANCIAL PLANNER PRACTITIONER.

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

Current

September 14, 2018 - Present

AUSPICIOUS FINANCIAL PLANNING, LLC

Office #1: 2603 Camino Ramon Suite 200, San Ramon, CA 94583

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.

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.

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.

CRD#: 7059

SAN FRANCISCO, CA

Past

September 24, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

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".

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

California
(9/14/2018)

IAR

Pennsylvania
(9/18/2018)

IAR

Texas
(9/14/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 2/25/1994

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 2/4/1994

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 10/29/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/23/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/3/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/20/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

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)

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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

SEC notice filing (6 States and Territories)

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 Accounts	614
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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Louis I. Dagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Isaac Dagen's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

AUSPICIOUS FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/1992

Series 63

Date: 10/1/1991

SIE

Date: 9/18/2018

Series 5

Date: 2/25/1994

Series 15

Date: 2/4/1994

Series 3

Date: 10/29/1991

Series 7

Date: 9/23/1991

Series 10

Date: 6/3/2002

Series 9

Date: 5/20/2002

Current Firm

AUSPICIOUS FINANCIAL PLANNING, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AUSPICIOUS FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

Contact information

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