Kelly S. Lawson

THE PUTNEY FINANCIAL GROUP LLC

San Rafael, CA 94903

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CRD#: 1222498

Professional summary

Kelly S Lawson, who also goes by Kelly S Otoole, Kelly Suellyn Otoole, Kelly Syellyn Otoole, is a registered financial advisor currently at THE PUTNEY FINANCIAL GROUP LLC located in San Rafael, California and ARETE WEALTH MANAGEMENT, LLC located in San Rafael, California.

Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kelly has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly S Otoole | Kelly Suellyn Otoole | Kelly Syellyn Otoole

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

IA with Putney Financial Group. Full time. San Geronimo Community Church (non-profit organization). spgchurch.org, 415-488-1757. Position: Treasurer 3 hours per week. No Compensation. Portsmouth Financial Services dba.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly S Lawson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 22, 2018 - Present

THE PUTNEY FINANCIAL GROUP LLC

Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903

RIA

CRD#: 111639

San Rafael, CA

Current

December 10, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903

CRD#: 44856

San Rafael, CA

Past

September 11, 2018 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN RAFAEL, CA

Past

August 16, 2018 - June 24, 2019

PORTSMOUTH FINANCIAL SERVICES

RIA

CRD#: 13980

SAN RAFAEL, CA

Past

March 2, 2011 - December 17, 2012

PRESIDIO MERCHANT PARTNERS LLC

CRD#: 46473

SAN FRANCISCO, CA

Past

October 28, 2008 - October 3, 2016

PRESIDIO CAPITAL ADVISORS LLC

RIA

CRD#: 108531

SAN FRANCISCO, CA

Past

May 4, 2004 - October 22, 2008

PRESIDIO CAPITAL ADVISORS, LLC

RIA

CRD#: 116284

SAN FRANCISCO, CA

Past

May 4, 2004 - September 3, 2010

PRESIDIO CAPITAL ADVISORS, LLC

CRD#: 116284

SAN FRANCISCO, CA

Past

August 18, 2003 - May 5, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

August 18, 2003 - May 5, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

August 16, 2002 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

SAN FRANCISCO, CA

Past

October 1, 1997 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

November 3, 1992 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

May 9, 1984 - November 4, 1992

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

December 21, 1983 - March 7, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE PUTNEY FINANCIAL GROUP LLC

CRD#: 111639 / SEC#: 801-62638

RIA

Registered Investment Advisory firm - (1/9/2004 Approved)

California

Registered Investment Advisory firm - (1/13/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(8/22/2018)

California
(12/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/26/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE PUTNEY FINANCIAL GROUP LLC

CRD#: 111639 / SEC#: 801-62638

RIA

Registered Investment Advisory firm - (1/9/2004 Approved)

California

Registered Investment Advisory firm - (1/13/2004 Terminated)

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Contact information

Main Address

100 Smith Ranch Road Suite 110, San Rafael, CA 94903

Mailing Address

Phone number

(415) 460-1990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PUTNEY REVISED PART II OF FORM ADV APRIL 2025 (5/5/2025)

Regulatory assets under management

Total Number of Accounts	992
AUM (Assets Under Management)	$ 187,290,545

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kelly S. Lawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly S Lawson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

PORTSMOUTH FINANCIAL SERVICES

PORTSMOUTH FINANCIAL SERVICES

PRESIDIO MERCHANT PARTNERS LLC

PRESIDIO CAPITAL ADVISORS LLC

PRESIDIO CAPITAL ADVISORS, LLC

PRESIDIO CAPITAL ADVISORS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE PUTNEY FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2002

Series 63

Date: 10/26/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

FINRA

Current Firm

THE PUTNEY FINANCIAL GROUP LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE PUTNEY FINANCIAL GROUP LLC

TRUST BUT VERIFY

Contact information

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