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100 Smith Ranch Road Suite 110, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-03 |
Branch Locations
100 Smith Ranch Road Suite 110, San Rafael, CA 94903 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Ins. Co. Of America | Santa Rosa | CA | 01/1997 | Present |
| The Putney Financial Group | San Rafael | CA | 08/1996 | Present |
| Portsmouth Financial Services | San Francisco | CA | 07/2010 | Present |
| Portsmouth-Smartlife Financial Group, Llc | San Rafael | CA | 09/2020 | 10/2023 |
| Arete Wealth Management, Llc | San Rafael | CA | 05/2024 | Present |
Owner of The Putney Financial Group LLC,, dba, Registered Investment Advisor. Life and Long-Term Care Insurance Agent, CLU. San Rafael, CA. 1) Ray Lent holds a State of California Department of Insurance life and health insurance license. As such he can receive commissions from insurance companies. 1 hr/mo. Servicing existing policy holders. Risk Management Advisors, LLC., Owner, Fixed Insurance Sales; San Rafael, CA 94903; 25 hours per month, 10 during trading hours; Start date: 12/31/2023. 2) Numismatic Resale & Bookends. Non investment-related. San Rafael, CA. Rare Lithographic Resale. Owner/Operator. 1/2009. 5 hrs/mo. 1-2 hrs/mo during securities trading hrs. Secure and sell rare coins & prints. 3) Legacy Bridge Financial LLC - Owner, business consulting services and recruiting services, for compensation, San Rafael, CA 94903, 10 hours per month, 5 during trading hours. Start Date: 1/2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-08 |
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