Terry L. Allen

THE PUTNEY FINANCIAL GROUP LLC

San Rafael, CA 94903

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CRD#: 1477937

Professional summary

Terry Lee Allen 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.

Terry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Terry has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) COMPLETAX PLANNING, INC. 2) NON-INVESTMENT REALTED 3)1049 4th Street, E. Santa Rosa, CA 95404. 4)TAX, ACCOUNTING AND ESTATE PLANNING 5) DIRECTOR/OFFICER/OWNER 6)SEP 1980 7)180 HRS/MONTH DEVOTED TO OBA 8)100 HRS/MONTH DEVOTED DURING SECURITIES TRADING HOURS 9) ADMINISTRATIVE, TAX PLANNING/COMPLIANCE, ESTATE/TRUST PLANNING/COMPLIANCE. IAR with The Putney Financial Group. San Rafael, CA. Start Date: 10/2013 Portsmouth Financial Services dba.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Lee Allen'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

June 25, 2019 - 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

October 17, 2013 - June 24, 2019

PORTSMOUTH FINANCIAL SERVICES

RIA

CRD#: 13980

SAN RAFAEL, CA

Past

October 16, 2013 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN RAFAEL, CA

Past

June 13, 2006 - October 17, 2013

SANDERS MORRIS LLC

RIA

CRD#: 20580

NAPA, CA

Past

November 1, 2004 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

NAPA, CA

Past

August 23, 2004 - October 17, 2013

SANDERS MORRIS LLC

CRD#: 20580

NAPA, CA

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
(6/25/2019)

California
(12/10/2024)

Texas
(3/7/2025)

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

Series 63

Date: 12/2/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/30/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/2004

Investment Company Products/Variable Contracts 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.

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Advisor Monitoring

Firm Stability Insights

Terry L. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Lee Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

PORTSMOUTH FINANCIAL SERVICES

PORTSMOUTH FINANCIAL SERVICES

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

Primary Firm SEC Registration

THE PUTNEY FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/2004

Series 65

Date: 10/30/2004

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2010

Series 6

Date: 8/20/2004

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

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