Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Isaac Dagen is a financial advisor with over 30 years of experience in the industry. Louis is a CERTIFIED FINANCIAL PLANNER™ and CHARTERED FINANCIAL CONSULTANT® and is currently registered with Auspicious Financial Planning, LLC in San Ramon, California. Louis previously held positions at Raymond James Financial Services, Inc., Raymond James & Associates, Inc., Citigroup Global Markets Inc. and Lehman Brothers Inc. Louis has a strong background in portfolio management for individuals and businesses. Louis is also a registered Investment Advisor Representative (IAR) in California, Pennsylvania and Texas. Louis is a dedicated financial advisor who is committed to providing personalized financial advice to help clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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CA
09/14/2018 - Present
Auspicious Financial Planning, LLC (SAN RAMON CA)
CA
02/04/2014 - 09/18/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (SAN RAMON CA)
CA
02/06/2009 - 02/04/2014
RAYMOND JAMES & ASSOCIATES, INC. (WALNUT CREEK CA)
CA
07/31/1993 - 02/26/2009
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
09/24/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/20/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/18/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1994
Series 5 - Interest Rate Options Examination
BC
Issued 02/04/1994
Series 15 - Foreign Currency Options Examination
BC
Issued 10/29/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/23/1991
Series 7 - General Securities Representative Examination
Active
Inactive
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