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Grace W. Chen

AUSPICIOUS FINANCIAL PLANNING
San Ramon, CA 94583
Some features on this profile are disabled
CRD#: 6298293
GC

Professional summary

Grace Wun Chen, who also goes by Grace Chen Dagen, is a registered financial advisor currently at AUSPICIOUS FINANCIAL PLANNING, LLC located in San Ramon, California.

Grace is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Grace has worked at 2 firms and has passed the Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Grace Chen Dagen

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 Grace Wun Chen'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®
None

Experience

Current

September 5, 2019 - Present

AUSPICIOUS FINANCIAL PLANNING, LLC

Office #1: 2603 Camino Ramon Suite 350, San Ramon, CA 94583
RIA
CRD#: 297962
San Ramon, CA
Past

May 17, 2018 - September 18, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SAN RAMON, CA

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
California
(9/5/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/2018
General Securities Representative 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)
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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
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#: 297962San Ramon, CA 94583

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