Ethan N. Ogden
MAIA WEALTH
OAKBROOK TERRACE, IL 60181
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CRD#: 7136603
Professional summary
Ethan Nguyen Ogden, CFP®, who also goes by Ethan Ogden, is a registered financial advisor currently at MAIA WEALTH located in Oakbrook Terrace, Illinois.
Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Ethan has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ethan Ogden
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.
06/2022: ODGEN VENTURES, LLC- MANAGING MEMBER. BOOKKEEPING ENTITY USED FOR INCOME RECEIVED THROUGH FINANCIAL PLANNING SERVICES. TIME SPENT = 40 HOURS/ MONTH. INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Ethan Nguyen Ogden's 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®
CFP®
Start date: 2022
Experience
Current
May 9, 2022 - Present
MAIA WEALTH
Office #1: 1 Mid Atlantic Plaza Floor 3, Oakbrook Terrace, IL 60181RIA
CRD#: 292817
OAKBROOK TERRACE, IL
Past
June 16, 2020 - May 10, 2022
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Wheaton, IL
Past
August 1, 2019 - May 15, 2020
ASTOR INVESTMENT MANAGEMENT LLC
RIA
CRD#: 169679
CHICAGO, IL
Past
July 13, 2019 - May 18, 2020
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
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".
MW
MAIA WEALTH
COOKIE WEALTH | WHITE BISON WEALTH MANAGEMENT, LLC | SILVEROAK | PHYXIUS FINANCIAL | PATHWAY ADVISORS GROUP | MIEDEMA WEALTH | MANA FINANCIAL GROUP | MAIA WEALTH, LLC | MAIA WEALTH | INTEGRATED FINANCIAL ARCHITECTS | HOFKIN CAPITAL MANAGEMENT
CRD#: 292817 / SEC#: 801-120452
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (6/6/2021 Terminated)Colorado
Registered Investment Advisory firm - (5/7/2021 Terminated)Texas
Registered Investment Advisory firm - (5/7/2021 Terminated)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
Illinois(5/9/2022)
IAR
Texas(3/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/13/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
MW
MAIA WEALTH
COOKIE WEALTH | WHITE BISON WEALTH MANAGEMENT, LLC | SILVEROAK | PHYXIUS FINANCIAL | PATHWAY ADVISORS GROUP | MIEDEMA WEALTH | MANA FINANCIAL GROUP | MAIA WEALTH, LLC | MAIA WEALTH | INTEGRATED FINANCIAL ARCHITECTS | HOFKIN CAPITAL MANAGEMENT
CRD#: 292817 / SEC#: 801-120452
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (6/6/2021 Terminated)Colorado
Registered Investment Advisory firm - (5/7/2021 Terminated)Texas
Registered Investment Advisory firm - (5/7/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1401 17th Street Suite 850, Denver, CO 80202
Mailing Address
Phone number
(720) 644-8803
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,445 |
| AUM (Assets Under Management) | $ 704,344,811 |
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.
