Echo C. Chien

THE PUTNEY FINANCIAL GROUP LLC

San Rafael, CA 94903

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CRD#: 2750051

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 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Echo C Chien | Echo Chien

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.

Chief Compliance Officer for The Putney Financial Group - Affiliated Registered Investment Advisory firm. Business Phone: 510-672-15,100 Smith Ranch Road, San Rafael, CA 94903, Website: putneyfinancial.com Position: Officer. Percent Ownership: 0 %, Approximate Hours Worked Weekly: 10 Rental Property, El Cerrito, CA 94530, Owner, 0 hours per month during trading hours, Start date 5/2021. Legacy Bridge Financial LLC, San Rafael, CA 91903. General consulting services and commission pass-through. Start date: 01/2025.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Echo Chiaping Chien'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

July 23, 2024 - 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 4, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 6901 Corporate Drive #128, Houston, TX 77036Office #2: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903Office #3: 6190 Powers Ferry Road Nw, Atlanta, GA 30339

CRD#: 44856

Houston, TX

Past

November 11, 2013 - January 19, 2025

PORTSMOUTH FINANCIAL SERVICES

RIA

CRD#: 13980

SAN RAFAEL, CA

Past

November 11, 2013 - February 18, 2025

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN RAFAEL, CA

Past

December 5, 2011 - December 20, 2013

EAST / WEST SECURITIES CORP.

CRD#: 157346

SAN FRANCISCO, CA

Past

April 13, 2011 - March 2, 2012

EAST/WEST SECURITIES CO.

CRD#: 10038

SAN FRANCISCO, CA

Past

March 12, 2008 - December 31, 2011

MANDARIN PACIFIC ASSET MANAGEMENT, LLC

RIA

CRD#: 145768

SAN FRANCISCO, CA

Past

September 13, 2004 - December 31, 2007

WHITE PACIFIC INVESTMENT ADVISORY SERVICES

RIA

CRD#: 130339

SAN FRANCISCO, CA

Past

July 31, 2000 - December 31, 2011

WHITE PACIFIC SECURITIES, INC.

CRD#: 42505

SAN FRANCISCO, CA

Past

June 20, 1996 - July 31, 2000

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, 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
(7/23/2024)

California
(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

State Security Law Exam

IAR

Series 65

Date: 3/15/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1996

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: 6/19/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/2010

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/6/1999

Registered Options Principal 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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Firm Stability Insights

Echo C. Chien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Echo Chiaping Chien's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

PORTSMOUTH FINANCIAL SERVICES

PORTSMOUTH FINANCIAL SERVICES

EAST / WEST SECURITIES CORP.

EAST/WEST SECURITIES CO.

MANDARIN PACIFIC ASSET MANAGEMENT, LLC

WHITE PACIFIC INVESTMENT ADVISORY SERVICES

WHITE PACIFIC SECURITIES, INC.

ACUMENT SECURITIES, INC.

Primary Firm SEC Registration

THE PUTNEY FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/2001

Series 63

Date: 6/28/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/19/1996

Series 24

Date: 11/17/2010

Series 4

Date: 7/6/1999

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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