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RIA / WealthAdvisorCertified Financial Planner31 years in industry

Ben Putman

Advisor at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

IRVINE, CA | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:f4bbe96d-5ba2-3d84-df0d-b637efc08d0d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 17, 2002 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: WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Feb 5, 1999
First registration: Sep 17, 2002
Dual registered: no
Other names: BENJAMIN R PUTMAN|BENJAMIN ROSS PUTMAN
IAPD individual key: 2310648

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
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Dec 16, 2025	n/a	yes	IRVINE, CA\|PLYMOUTH, MN	Current employment
EMPIRICAL WEALTH MANAGEMENT	Independent wealth	Nov 29, 2017	Feb 28, 2018	no	Irvine, CA\|SEATTLE, WA	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 13, 2007	Nov 1, 2017	no	IRVINE, CA	Previous registration
SPECTRUM WEALTH MANAGEMENT, LLC	Former SEC adviser	Aug 25, 2005	Dec 31, 2025	no	IRVINE, CA\|MISSION VIEJO, CA	Previous registration
PACIFIC PARK FINANCIAL, INC.	Independent wealth	Nov 12, 2002	Oct 3, 2005	no	MISSION VIEJO, CA	Previous registration
SENTRA SECURITIES CORPORATION	n/a	Sep 17, 2002	Nov 4, 2003	no	LAGUNA HILLS, 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
SPECTRUM WEALTH MANAGEMENT, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Dec 31, 2025	Feb 13, 2007	-6,896	Firm change after gap	Other
EMPIRICAL WEALTH MANAGEMENT	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Feb 28, 2018	Dec 16, 2025	2,848	Firm change after gap	RIA to ibd
INDEPENDENT FINANCIAL GROUP, LLC	EMPIRICAL WEALTH MANAGEMENT	Nov 1, 2017	Nov 29, 2017	28	Firm change	Other
PACIFIC PARK FINANCIAL, INC.	SPECTRUM WEALTH MANAGEMENT, LLC	Oct 3, 2005	Aug 25, 2005	-39	Firm change after gap	Other
SENTRA SECURITIES CORPORATION	PACIFIC PARK FINANCIAL, INC.	Nov 4, 2003	Nov 12, 2002	-357	Firm change after gap	Other

Relationships

Registered with (6)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Dec 16, 2025 to presentfactForm ADV
→ SPECTRUM WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 25, 2005 to Dec 31, 2025factForm ADV
→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 29, 2017 to Feb 28, 2018factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Feb 13, 2007 to Nov 1, 2017factForm ADV
→ PACIFIC PARK FINANCIAL, INC.Registered adviserregistration: previous registration
Nov 12, 2002 to Oct 3, 2005factForm ADV
→ SENTRA SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 17, 2002 to Nov 4, 2003factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
Ben Putman left Spectrum Wealth Management, Llc for Independent Financial Group, Llc (registered 2007-02-13)
Form ADVobserved 4 days ago