Ben R. Putman

SPECTRUM WEALTH MANAGEMENT

Irvine, CA 92618

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CRD#: 2310648

Professional summary

Ben Ross Putman, CFP®, who also goes by Benjamin R Putman, Benjamin Ross Putman, is a registered financial advisor currently at SPECTRUM WEALTH MANAGEMENT, LLC located in Irvine, California.

Ben is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ben has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin R Putman | Benjamin Ross Putman

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) 100% OWNER/IAR OF "SPECTRUM CAPITAL INVESTMENT GROUP, INC." A CA REGISTERED INVESTMENT ADVISER PROVIDING ASSET MANAGEMENT SERVICES SINCE 2005. INVESTMENT RELATED. APPROXIMATELY 20% TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2) 100% OWNER/CPA OF "PUTMAN GROUP", AN ACCOUNTANCY FIRM PROVIDING TAX PREPARATION AND ACCOUNTING SERVICES SINCE 1988. NON-INVESTMENT RELATED. APPROXIMATELY 70% TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (3) CA INSURANCE AGENT OFFERING SALES OF FIXED INSURANCE PRODUCTS SINCE 1999. NON-INVESTMENT RELATED. TIME SPENT AS REQUIRED. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (4) 100% OWNER OF "SPECTRUM REALTY PARTNERS" WHICH OWNS AN OFFICE BUILDING SINCE 2010. NON-INVESTMENT RELATED. APPROXIMATELY 1% TIMIE SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ben Ross Putman'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

August 25, 2005 - Present

SPECTRUM WEALTH MANAGEMENT, LLC

Office #1: 9911 Irvine Center Drive Suite 150, Irvine, CA 92618

RIA

CRD#: 135530

Irvine, CA

Past

November 29, 2017 - February 28, 2018

EMPIRICAL WEALTH MANAGEMENT

RIA

CRD#: 152622

Irvine, CA

Past

February 13, 2007 - November 1, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

IRVINE, CA

Past

February 12, 2007 - November 1, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

IRVINE, CA

Past

October 31, 2005 - January 27, 2007

OSAIC SERVICES, INC.

CRD#: 133763

MISSION VIEJO, CA

Past

October 11, 2005 - October 31, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

November 12, 2002 - October 3, 2005

PACIFIC PARK FINANCIAL, INC.

RIA

CRD#: 122867

MISSION VIEJO, CA

Past

September 17, 2002 - November 4, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

LAGUNA HILLS, CA

Past

September 9, 1999 - November 4, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 3, 1999 - September 20, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

SPECTRUM WEALTH MANAGEMENT, LLC

SPECTRUM CAPITAL INVESTMENT GROUP, INC. | SPECTRUM WEALTH MANAGEMENT, LLC

CRD#: 135530 / SEC#: 801-113730

RIA

Registered Investment Advisory firm - (7/30/2018 Approved)

California

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/22/2018 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.

Highlighted states indicate IAR registrations

IAR

California
(8/25/2005)

IAR

Texas
(3/20/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/14/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SPECTRUM WEALTH MANAGEMENT, LLC

SPECTRUM CAPITAL INVESTMENT GROUP, INC. | SPECTRUM WEALTH MANAGEMENT, LLC

CRD#: 135530 / SEC#: 801-113730

RIA

Registered Investment Advisory firm - (7/30/2018 Approved)

California

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/22/2018 Terminated)

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Contact information

Main Address

9911 Irvine Center Drive Suite 150, Irvine, CA 92618

Mailing Address

Phone number

(949) 597-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (8/14/2025)

Regulatory assets under management

Total Number of Accounts	505
AUM (Assets Under Management)	$ 269,542,710

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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Firm Stability Insights

Ben R. Putman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ben Ross Putman's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL WEALTH MANAGEMENT

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

OSAIC SERVICES, INC.

SENTRA SECURITIES CORPORATION

PACIFIC PARK FINANCIAL, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

SPECTRUM WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2002

Series 63

Date: 2/5/1999

SIE

Date: 11/1/2017

Series 7

Date: 11/16/2015

Series 6

Date: 2/4/1999

Current Firm

SPECTRUM WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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