Benjamin Putman, financial advisor Irvine CA

Benjamin Putman

CRD Number: 2310648
Current Firm: Spectrum Wealth Management, LLC

Benjamin Putman (CRD# 2310648) is an Investment Advisor Representative working at Spectrum Wealth Management, LLC in Irvine, CA and has over 25 years of experience in the finance industry. Benjamin Putman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Empirical Wealth Management Irvine, CA Nov 2017 - Current 6
Independent Financial Group San Diego, CA Feb 2007 - Current 17
Spectrum Capital Investment Group, Inc. Irvine, CA May 2005 - Current 18
Putmangroup Irvine, CA Jan 1995 - Current 29
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1999
S65 NASAA Investment Advisors Law Examination Nov 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Benjamin R. Putman
Phone Number: 949-597-0101
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    234
    MILLIONS
  • Total Number of Accounts
    616
    ACCOUNTS
  • Average Account Value
    $380,240
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA

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