AT
Andrew J. Taylor
THE PUTNEY FINANCIAL GROUP LLC
San Rafael, CA 94903
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CRD#: 6338247
AT
Professional summary
Andrew John Taylor 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.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Andrew has worked at 3 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.
Description: Full time employee of The Putney Financial Group, Registered Investment Advisers. Business Type: sole-proprietorship Business Owners: Raymond Lent Business Phone: (415) 460-1990 Address: 100 Smith Ranch Rd San Rafael, CA 94903 Position: employee Percent Ownership: 0% Approximate Hours Worked Weekly: 40 Portsmouth Financial Services dba
CRS (Client Relationship Summary) - RIA
Click below to view Andrew John Taylor's 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®
NoneExperience
Current
June 21, 2019 - Present
THE PUTNEY FINANCIAL GROUP LLC
Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903RIA
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 94903BD
CRD#: 44856
San Rafael, CA
Past
April 4, 2019 - June 21, 2019
PORTSMOUTH FINANCIAL SERVICES
RIA
CRD#: 13980
SAN RAFAEL, CA
Past
June 12, 2014 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
BD
CRD#: 13980
SAN RAFAEL, 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".
TP
THE PUTNEY FINANCIAL GROUP LLC
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
CRD#: 111639 / SEC#: 801-62638
RIA
Registered Investment Advisory firm - (1/9/2004 Approved)California
Registered Investment Advisory firm - (1/13/2004 Terminated)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.RR
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
RR
Arizona(1/6/2025)
IAR
California(6/21/2019)
RR
California(12/10/2024)
RR
Colorado(3/27/2025)
RR
Florida(1/6/2025)
RR
Hawaii(1/6/2025)
RR
Idaho(1/6/2025)
RR
Kentucky(6/5/2025)
RR
Nevada(1/6/2025)
RR
New Mexico(3/6/2025)
RR
Oregon(1/6/2025)
RR
Pennsylvania(3/6/2025)
RR
Texas(11/5/2025)
RR
Utah(1/6/2025)
RR
Washington(3/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PUTNEY FINANCIAL GROUP LLC
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
CRD#: 111639 / SEC#: 801-62638
RIA
Registered Investment Advisory firm - (1/9/2004 Approved)California
Registered Investment Advisory firm - (1/13/2004 Terminated)Upgrade to AdvisorCheck Premium
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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
7
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 992 |
| AUM (Assets Under Management) | $ 187,290,545 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE PUTNEY FINANCIAL GROUP LLC
CRD#: 111639San Rafael, CA 94903TRUST BUT VERIFY
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