Unclaimed Profile

Echo Chiaping Chien

THE PUTNEY FINANCIAL GROUP LLC·SAN RAFAEL, California

SIE, Series 4, Series 7, Series 24, Series 63, Series 65Clean record21 years registeredTHE PUTNEY FINANCIAL GROUP LLC

100 SMITH RANCH ROAD, SAN RAFAEL, CA 94903CRD# 2750051Firm CRD# 111639

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Echo Chiaping Chien · SAN RAFAEL, CA

Registration

CRD #2750051 · THE PUTNEY FINANCIAL GROUP LLC · 21 years registered

Brand Profile

Not yet started

Career History

ARETE WEALTH MANAGEMENT, LLC

Dec 2024 – present

THE PUTNEY FINANCIAL GROUP LLC

Jul 2024 – present

PORTSMOUTH FINANCIAL SERVICES, INC.

Nov 2013 – Jan 2025

SAN RAFAEL, CA

MANDARIN PACIFIC ASSET MANAGEMENT, LLC

Mar 2008 – Dec 2011

SAN FRANCISCO, CA

WHITE PACIFIC INVESTMENT ADVISORY SERVICES

Sep 2004 – Dec 2007

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · September 13, 2004

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE PUTNEY FINANCIAL GROUP LLC

CRD 111639 · SEC 801-62638

AUM

$177M

Regulatory assets under management

Employees

1,068 client accounts

Services offered by THE PUTNEY FINANCIAL GROUP LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Market timing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE PUTNEY FINANCIAL GROUP LLC →

Introduction

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Frequently Asked Questions

What services does Echo Chiaping Chien offer?

Echo Chiaping Chien specializes in Financial Planning, Investment Management, Fee-Only Advisory. Contact their office in SAN RAFAEL, California for a consultation.

What are Echo Chiaping Chien's credentials?

Echo Chiaping Chien is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Echo Chiaping Chien located?

Echo Chiaping Chien is based in SAN RAFAEL, California, working with THE PUTNEY FINANCIAL GROUP LLC. Their office serves clients in the SAN RAFAEL metropolitan area and surrounding communities.

How does Echo Chiaping Chien charge for services?

Echo Chiaping Chien's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE PUTNEY FINANCIAL GROUP LLC?

THE PUTNEY FINANCIAL GROUP LLC has approximately 7 employees and manages $177M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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