THE PUTNEY FINANCIAL GROUP LLC ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 111639
- Firm name
- THE PUTNEY FINANCIAL GROUP LLC
- Other names / DBAs
- 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
- IA scope
- ACTIVE
- SEC IA file
- 801-62638
- Branches
- 2
- Disclosure events
- YES
- HQ
- SAN RAFAEL, CA, 94903, United States
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