• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
LOUIS ISAAC DAGEN
CRD#: 2176866
IA
Investment Adviser
B
Previous Broker
AUSPICIOUS FINANCIAL PLANNING, LLCCRD#: 297962 2603 CAMINO RAMON
SUITE 200
SAN RAMON, CA 94583
Registration History
19952000200520102015202020252 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - 2018 (4 years)IAAUSPICIOUS FINANCIAL PLANNING, LLC (CRD# 297962)2018 - Present (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (10 years)
License(s)

State Registrations

IA
California 9/14/2018

IA
Texas 9/14/2018

IA
Pennsylvania 9/18/2018

Current Registration(s)
IA
AUSPICIOUS FINANCIAL PLANNING, LLC (CRD#:297962)
2603 CAMINO RAMON SUITE 200, SAN RAMON, CA 94583
Registered with this firm since 9/14/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/05/2014 - 09/18/2018 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SAN RAMON, CA
B
02/04/2014 - 09/18/2018 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SAN RAMON, CA
IA
02/09/2009 - 02/04/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WALNUT CREEK, CA
B
02/06/2009 - 02/04/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WALNUT CREEK, CA
IA
11/06/1998 - 02/26/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
07/31/1993 - 02/26/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
09/24/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.