Anthony M. Puma

SPINNAKER INVESTMENT GROUP

Newport Beach, CA 92660

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CRD#: 5520249

Professional summary

Anthony Michael Puma is a registered financial advisor currently at SPINNAKER INVESTMENT GROUP, LLC located in Newport Beach, California.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Anthony has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Michael Puma'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

December 15, 2016 - Present

SPINNAKER INVESTMENT GROUP, LLC

Office #1: 4100 Macarthur Blvd. Suite 120, Newport Beach, CA 92660

RIA

CRD#: 283414

Newport Beach, CA

Past

November 4, 2014 - June 6, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

IRVINE, CA

Past

December 10, 2010 - March 13, 2017

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

RIA

CRD#: 144069

IRVINE, CA

Past

May 30, 2008 - September 29, 2010

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

IRVINE, CA

Past

May 14, 2008 - November 5, 2014

SIGNATOR INVESTORS, INC.

CRD#: 468

IRVINE, 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".

SPINNAKER INVESTMENT GROUP, LLC

MANDALYN ADVISORS, LLC | SPINNLAW | SPINNAKER INVESTMENT GROUP, LLC

CRD#: 283414 / SEC#: 801-107671

RIA

Registered Investment Advisory firm - (4/15/2016 Approved)

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
(12/15/2016)

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 66

Date: 5/20/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2008

General Securities Representative Examination

Current Firm

SPINNAKER INVESTMENT GROUP, LLC

MANDALYN ADVISORS, LLC | SPINNLAW | SPINNAKER INVESTMENT GROUP, LLC

CRD#: 283414 / SEC#: 801-107671

RIA

Registered Investment Advisory firm - (4/15/2016 Approved)

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Contact information

Main Address

4100 Macarthur Blvd. Suite 120, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 396-6700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/11/2025)

Regulatory assets under management

Total Number of Accounts	2,437
AUM (Assets Under Management)	$ 881,975,397

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/06/2024	Cover Page	Report

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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Anthony M. Puma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Michael Puma's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

SPINNAKER INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2008

SIE

Date: 6/6/2016

Series 7

Date: 5/13/2008

Current Firm

SPINNAKER INVESTMENT GROUP, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SPINNAKER INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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