Echo Chiaping Chien
Professional Summary
Echo Chiaping Chien, who also goes by Echo C Chien, Echo Chien, is a registered financial advisor currently at THE PUTNEY FINANCIAL GROUP LLC located in San Rafael, California and ARETE WEALTH MANAGEMENT, LLC located in Houston, Texas. Echo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Echo has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Echo C Chien, Echo Chien
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
LENT, RAYMOND LAWRENCE | THE PUTNEY FINANCIAL GROUP, REGISTERED INVESTMENT ADVISORS | THE PUTNEY FINANCIAL GROUP LLC | RAYMOND LAWRENCE LENT DBA THE PUTNEY FINANCIAL GROUP | PORTSMOUTH-SMARTLIFE FINANCIAL GROUP, LLC | PORTSMOUTH FINANCIAL SERVICES, INC. | PLACER PARTNERS XVI - XVII
Contact Information
Main Address
100 Smith Ranch Road Suite 110, San Rafael, CA 94903Phone Number
(415) 460-1990# of Employees
8SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
948AUM (Assets Under Management)
$205,409,186Similar Advisors
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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.
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Primary Firm SEC Registration
LENT, RAYMOND LAWRENCE | THE PUTNEY FINANCIAL GROUP, REGISTERED INVESTMENT ADVISORS | THE PUTNEY FINANCIAL GROUP LLC | RAYMOND LAWRENCE LENT DBA THE PUTNEY FINANCIAL GROUP | PORTSMOUTH-SMARTLIFE FINANCIAL GROUP, LLC | PORTSMOUTH FINANCIAL SERVICES, INC. | PLACER PARTNERS XVI - XVII
State Registrations and Notice Filings
(7/23/2024)
(12/4/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Echo Chiaping Chien's CRS (Customer Relationship Summary).
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