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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 | 2019-06-25 |
Branch Locations
100 Smith Ranch Road Suite 110, San Rafael, CA 94903 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Completax Planning Inc | Napa | CA | 01/1999 | Present |
| Portsmouth Financial Services | San Francisco | CA | 10/2013 | Present |
| The Putney Financial Group | San Rafael | CA | 10/2013 | Present |
| Arete Wealth Mangagement | Chicago | IL | 12/2024 | Present |
1) COMPLETAX PLANNING, INC. 2) NON-INVESTMENT REALTED 3)1049 4th Street, E. Santa Rosa, CA 95404. 4)TAX, ACCOUNTING AND ESTATE PLANNING 5) DIRECTOR/OFFICER/OWNER 6)SEP 1980 7)180 HRS/MONTH DEVOTED TO OBA 8)100 HRS/MONTH DEVOTED DURING SECURITIES TRADING HOURS 9) ADMINISTRATIVE, TAX PLANNING/COMPLIANCE, ESTATE/TRUST PLANNING/COMPLIANCE. IAR with The Putney Financial Group. San Rafael, CA. Start Date: 10/2013 Portsmouth Financial Services dba.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-12-02 |
| S65 | Uniform Investment Adviser Law Examination | 2004-10-30 |
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