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Detailed Report
BENJAMIN ROSS PUTMAN
BENJAMIN R PUTMAN
CRD#: 2310648
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Investment Adviser
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Previous Broker
SPECTRUM WEALTH MANAGEMENT, LLCCRD#: 135530 9911 IRVINE CENTER DRIVE
SUITE 150
IRVINE, CA 92618
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2017 (10 years)IASPECTRUM WEALTH MANAGEMENT, LLC (CRD# 135530)2005 - Present (19 years)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2007 (1 year)BSENTRA SECURITIES CORPORATION (CRD# 10249)2005 - 2005 (<1 year)BSENTRA SECURITIES CORPORATION (CRD# 10249)1999 - 2003 (4 years)BH.D. VEST INVESTMENT SECURITIE... (CRD# 13686)1999 - 1999 (<1 year)IAEMPIRICAL WEALTH MANAGEMENT (CRD# 152622)2017 - 2018 (<1 year)IAPACIFIC PARK FINANCIAL, INC. (CRD# 122867)2002 - 2005 (2 years)IASENTRA SECURITIES CORP (CRD# 10249)2002 - 2003 (1 year)
Disclosure(s)
View By:
8/6/2021
Customer Dispute
Settled
License(s)

State Registrations

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California 8/25/2005
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Texas 3/20/2025
Current Registration(s)
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SPECTRUM WEALTH MANAGEMENT, LLC (CRD#:135530)
9911 IRVINE CENTER DRIVE SUITE 150, IRVINE, CA 92618
Registered with this firm since 8/25/2005
Previous Registration(s)
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 11/29/2017 - 02/28/2018 EMPIRICAL WEALTH MANAGEMENT (CRD#:152622) Irvine, CA
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 02/13/2007 - 11/01/2017 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) IRVINE, CA
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 02/12/2007 - 11/01/2017 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) IRVINE, CA
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 10/31/2005 - 01/27/2007 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) MISSION VIEJO, CA
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 10/11/2005 - 10/31/2005 SENTRA SECURITIES CORPORATION (CRD#:10249) PHOENIX, AZ
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 11/12/2002 - 10/03/2005 PACIFIC PARK FINANCIAL, INC. (CRD#:122867) MISSION VIEJO, CA
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 09/17/2002 - 11/04/2003 SENTRA SECURITIES CORP (CRD#:10249) LAGUNA HILLS, CA
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 09/09/1999 - 11/04/2003 SENTRA SECURITIES CORPORATION (CRD#:10249) PHOENIX, AZ
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 03/03/1999 - 09/20/1999 H.D. VEST INVESTMENT SECURITIES, INC. (CRD#:13686) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.