Anthony Puma, financial advisor Newport Beach CA
71 score

Anthony Puma

CRD Number: 5520249
Current Firm: Spinnaker Investment Group, LLC

Anthony Puma (CRD# 5520249) is an Investment Advisor Representative working at Spinnaker Investment Group, LLC in Newport Beach, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Spinnaker Investment Group, LLC Newport Beach, CA Nov 2016 - Current 1
Police And Fire: The Fallen Heroes Walnut Creek, CA Feb 2016 - Current 2
Massmutual Life Insurance Company Irvine, CA Oct 2014 - Nov 2016 2
Signature Resources Capital Management Irvine, CA Oct 2010 - Nov 2016 6
Mml Investors Services LLC Irvine, CA Nov 2014 - Jun 2016 1
Signator Investors Inc. Irvine, CA Apr 2008 - Oct 2014 6
Signature Resources Irvine, CA Feb 2008 - Oct 2014 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2008
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Anthony M. Puma
Phone Number: (949) 396-6700
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States


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