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Clara Sue Bogen

Cetera Investment Advisers LLC

Lake Forest, IL

CRD 1872711

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2004-10-18
IL RA APPROVED 1998-02-16
  • TX RA
    APPROVED_RES
    Since 2004-10-18
  • IL RA
    APPROVED
    Since 1998-02-16

Branch Locations

Lake Forest, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Csb Income Tax Service (Self Employed) Lake Forest IL 01/1981 Present
Cetera Financial Specialists Llc Schaumburg IL 08/1988 Present
Cetera Investment Advisers Llc Schaumburg IL 02/1998 Present
  • 01/1981 → Present
    Csb Income Tax Service (Self Employed)
    Lake Forest, IL
  • 08/1988 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/1998 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Other Businesses

1)TAX PRAC-OWNER SINCE 98-TAX PREP-10-40HR/WK:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-07
S63 Uniform Securities Agent State Law Examination 1991-07-10
  • S65 Uniform Investment Adviser Law Examination
    1999-09-07
  • S63 Uniform Securities Agent State Law Examination
    1991-07-10
Designations
  • Certified Financial Planner
Other Names
  • Clara Su Bogen
  • Clara Su Lo

View on SEC IAPD

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