Kimberly B. Ogden
Professional summary
Kimberly B Ogden, AIF®, CFP®, who also goes by Kimberly B Gootee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rocklin, California and CETERA WEALTH SERVICES, LLC located in Rocklin, California.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kimberly has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly B Ogden's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2010
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5854 Lonetree Blvd, Rocklin, CA 95765February 8, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5701 Lonetree Blvd., Suite #104, Rocklin, CA 95765March 10, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
August 1, 2006 - February 8, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
July 18, 2006 - February 8, 2008
ASSOCIATED SECURITIES CORP.
March 29, 2006 - February 8, 2008
ASSOCIATED SECURITIES CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2014)
(9/9/2015)
(2/8/2008)
(6/29/2023)
(6/30/2014)
(6/30/2014)
(6/30/2014)
(6/30/2014)
(8/6/2020)
(2/6/2024)
(1/2/2025)
(1/3/2023)
(1/2/2025)
(8/6/2020)
(6/30/2014)
(7/14/2020)
(6/30/2014)
(1/3/2018)
(6/30/2014)
(1/2/2025)
(1/3/2023)
(6/30/2014)
(4/22/2016)
(6/30/2014)
(6/29/2023)
(1/6/2016)
(6/30/2014)
(6/30/2014)
(6/30/2014)
(1/2/2025)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rocklin, CA 95765TRUST BUT VERIFY
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