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KIMBERLY B OGDEN
KIMBERLY B GOOTEE
CRD#: 4442556
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 5854 LONETREE BLVD
ROCKLIN, CA 95765
ROCKLIN, CA 95765
CETERA ADVISOR NETWORKS LLCCRD#: 13572 5854 LONETREE BLVD
ROCKLIN, CA 95765
ROCKLIN, CA 95765
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Arizona 6/30/2014
B
Montana 7/14/2020
B
Arkansas 9/9/2015
B
Nevada 6/30/2014
B
California 2/8/2008
B
North Carolina 1/3/2018
IA
California 6/29/2023
B
Oregon 6/30/2014
B
Colorado 6/30/2014
B
Pennsylvania 1/2/2025
B
Florida 6/30/2014
B
South Carolina 1/3/2023
B
Georgia 6/30/2014
B
South Dakota 6/30/2014
B
Hawaii 6/30/2014
B
Tennessee 4/22/2016
B
Idaho 8/6/2020
B
Texas 6/30/2014
B
Louisiana 2/6/2024
IA
Texas 6/29/2023
B
Maryland 1/2/2025
B
Utah 1/6/2016
B
Massachusetts 1/3/2023
B
Virginia 6/30/2014
B
Minnesota 1/2/2025
B
Washington 6/30/2014
B
Mississippi 8/6/2020
B
West Virginia 6/30/2014
B
Missouri 6/30/2014
B
Wisconsin 1/2/2025
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 2/8/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/10/2008 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 08/01/2006 - 02/08/2008 | ROSEVILLE, CA | |
IA | 07/18/2006 - 02/08/2008 | ROSEVILLE, CA | |
B | 03/29/2006 - 02/08/2008 | BOSTON, MA |
ROSEVILLE, CA
08/01/2006 - 02/08/2008
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.