Caren S. Ober
Professional summary
Caren Sue Ober, who also goes by Caren Sue Bloom, is a registered financial advisor currently at BALANCING LIFE FINANCIAL PLANNING located in Orange, California.
Caren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Caren has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Caren Sue Ober's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2020 - Present
BALANCING LIFE FINANCIAL PLANNING
Office #1: 900 E. Katella Ave Suite B, Orange, CA 92867October 10, 2012 - November 5, 2019
INDEPENDENT FINANCIAL GROUP, LLC
October 5, 2012 - November 5, 2019
INDEPENDENT FINANCIAL GROUP, LLC
July 2, 2004 - October 26, 2012
CETERA INVESTMENT ADVISERS LLC
June 30, 2004 - October 26, 2012
CETERA FINANCIAL SPECIALISTS LLC
May 13, 2002 - July 2, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
October 9, 2001 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/14/2020)
Exams
Current Firm
BALANCING LIFE FINANCIAL PLANNING
CRD#: 305808 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 19,267,937 |
Red Flags
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