Louis Isaac Dagen

Employer firm

Auspicious Financial Planning, LLC CRD 297962

$278M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2014 → 09/2018
  Raymond James Financial Services, Inc.
  San Ramon, CA
• 02/2014 → 09/2018
  Raymond James Financial Services Advisors Inc.
  San Ramon, CA
• 02/2014 → Present
  Louis I. Dagen, Cfp, Chfc, Wms, Cep
  San Ramon, CA
• 09/2018 → Present
  Auspicious Financial, Llc
  San Ramon, CA

Previous Registrations

• 2014-02-05 → 2018-09-18
  Raymond James Financial Services Advisors, Inc
  San Ramon, CA
• 2009-02-09 → 2014-02-04
  Raymond James & Associates, Inc.
  Walnut Creek, CA
  San Ramon, CA
• 1998-11-06 → 2009-02-26
  Citigroup Global Markets Inc.
  San Francisco, CA
  San Francisco, CA

Other Businesses

LOUIS I. DRAGEN, CFP, CHFC, WMS, CEP; SAN RAMON, CA; SUPPORT COMPANY/DBA (OWNER); NOT INVESTMENT RELATED; 02/2014-PRESENT; 0 HOURS PER MONTH, 0 HOURS DURING TRADING; OWNER AND INDEPENDENT CERTIFIED FINANCIAL PLANNER PRACTITIONER.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-02-24
• S63 Uniform Securities Agent State Law Examination
  1991-10-01

Designations

• Certified Financial Planner
• Chartered Financial Consultant