Louis Dagen is a CFP, ChFC-designated registered investment advisor, based in San Ramon, CA, with 34 years of industry experience.
Location
2603 Camino Ramon, Suite 200, San Ramon, CA, 94583
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Louis is the owner of a support company/DBA and works as an independent certified financial planner practitioner since 2014. He dedicates minimal time to this activity.
Employment History
Previous Registrations
Auspicious Financial Planning, LLC
September 2018 - December 2025 · 7 yrs 3 mos
Raymond James Financial Services Advisors, INC
February 2014 - September 2018 · 4 yrs 7 mos
Raymond James Financial Services, INC.Broker
February 2014 - September 2018 · 4 yrs 7 mos
Raymond James & Associates, INC.
February 2009 - February 2014 · 5 yrs
Raymond James & Associates, INC.Broker
February 2009 - February 2014 · 5 yrs
Citigroup Global Markets INC.
November 1998 - February 2009 · 10 yrs 3 mos
Citigroup Global Markets INC.Broker
July 1993 - February 2009 · 15 yrs 7 mos
Lehman Brothers INC.Broker
September 1991 - July 1993 · 1 yr 10 mos
State Registrations2 states
PATX
Advisor
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Exams
No exam information available for this advisor.