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Est. 2026The front page of wealth managementNew York

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Registered advisors

Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.

  1. 398,301Registered advisersEvery investment adviser representative
  2. 304,895Dually registered77% are also broker reps
  3. 93,406Adviser onlyNot registered with a broker-dealer
  4. 25,639FirmsWhere they're registered
  5. 56,898CFPs11,003 CFAs, 12,693 ChFCs

From the SEC’s compilation report of October 24, 2026, refreshed every morning. +89 since the file before. 53 firm joins and 232 departures in the latest file. 7 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

7 advisors

Unlock all 7
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Terry L. AllenSan Rafael, CAThe Putney Financial Group LLCAdviser and broker–Atlas2004
2Echo C. ChienSan Rafael, CAThe Putney Financial Group LLCAdviser and broker–Atlas2004
3Gregory T. GenerSan Rafael, CAThe Putney Financial Group LLCAdviser only–Atlas2024
4Kelly S. LawsonSan Rafael, CAThe Putney Financial Group LLCAdviser and broker–Atlas2002
5Raymond L. LentSan Rafael, CAThe Putney Financial Group LLCAdviser and broker–Atlas2025
6Stephen R. StanfordSan Rafael, CAThe Putney Financial Group LLCAdviser and broker–Atlas2004
7Andrew J. TaylorSan Rafael, CAThe Putney Financial Group LLCAdviser and broker–Atlas2019

From the SEC’s Investment Adviser Public Disclosure compilation report: investment adviser representatives, including those also registered as broker representatives. Personal contact details aren’t included.