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THE PUTNEY FINANCIAL GROUP LLC

SAN RAFAEL, CA · CRD 111639 · IAPD ↗ · putneyfinancial.com · 415-460-1990

$205.4MRegulatory AUM
4Advisory reps
8Employees
0Clients
101-250Planning clients
0Private funds
8States
8Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
May 2025 — THE PUTNEY FINANCIAL GROUP LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
42
April 2025 — THE PUTNEY FINANCIAL GROUP LLC notice-filed in AL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
July 2024 — THE PUTNEY FINANCIAL GROUP LLC's Item 11 disclosure-reporting entries rose by 3 (5 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
42
April 2024 — THE PUTNEY FINANCIAL GROUP LLC notice-filed in NM.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2024 — THE PUTNEY FINANCIAL GROUP LLC's Item 11 disclosure-reporting entries rose by 1 (4 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.