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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

ECHO CHIAPING CHIEN

Advisor at THE PUTNEY FINANCIAL GROUP LLC

SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:b2b9fc63-740e-45d3-6aaf-91a7c364b5e9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 13, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THE PUTNEY FINANCIAL GROUP LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 28, 1996
First registration: Sep 13, 2004
Dual registered: yes, broker-dealer
Other names: ECHO C CHIEN|ECHO CHIEN
IAPD individual key: 2750051

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THE PUTNEY FINANCIAL GROUP LLC	Independent wealth	Jul 23, 2024	n/a	yes	SAN RAFAEL, CA	Current employment
PORTSMOUTH FINANCIAL SERVICES	n/a	Nov 11, 2013	Jan 19, 2025	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|San Francisco, CA\|SANTA ROSA, CA\|SAN RAFAEL, CA	Previous registration
MANDARIN PACIFIC ASSET MANAGEMENT, LLC	n/a	Mar 12, 2008	Dec 31, 2011	no	SAUSALITO, CA	Previous registration
WHITE PACIFIC INVESTMENT ADVISORY SERVICES	n/a	Sep 13, 2004	Dec 31, 2007	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PORTSMOUTH FINANCIAL SERVICES	THE PUTNEY FINANCIAL GROUP LLC	Jan 19, 2025	Jul 23, 2024	-180	Firm change after gap	Other
MANDARIN PACIFIC ASSET MANAGEMENT, LLC	PORTSMOUTH FINANCIAL SERVICES	Dec 31, 2011	Nov 11, 2013	681	Firm change after gap	Other
WHITE PACIFIC INVESTMENT ADVISORY SERVICES	MANDARIN PACIFIC ASSET MANAGEMENT, LLC	Dec 31, 2007	Mar 12, 2008	72	Firm change	Other

Relationships

Registered with (4)

→ THE PUTNEY FINANCIAL GROUP LLCRegistered adviserregistration: current employment
Jul 23, 2024 to presentfactForm ADV
→ PORTSMOUTH FINANCIAL SERVICESRegistered adviserregistration: previous registration
Nov 11, 2013 to Jan 19, 2025factForm ADV
→ MANDARIN PACIFIC ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 12, 2008 to Dec 31, 2011factForm ADV
→ WHITE PACIFIC INVESTMENT ADVISORY SERVICESRegistered adviserregistration: previous registration
Sep 13, 2004 to Dec 31, 2007factForm ADV

Dated events

Occurred
Jan 19, 2025
Advisor changed firm
Echo Chiaping Chien left Portsmouth Financial Services for The Putney Financial Group Llc (registered 2024-07-23)
Form ADVobserved 6 days ago