Kelly Lawson is a registered investment advisor, based in San Rafael, CA, with 40 years of industry experience. Kelly is also registered as a broker, so some compensation may come from commissions on products sold.
Location
100 Smith Ranch Road, Suite 110, San Rafael, CA, 94903
Get directionsHistory
Regulatory History (2)
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Customer Dispute
August 2023Settled
Customer Dispute
May 2023Settled
Other Business Activities
Kelly is an IA with Putney Financial Group full-time. She also serves as Treasurer for San Geronimo Community Church, dedicating a few hours per week without compensation.
Employment History
Current Registrations
Arete Wealth Management, LLCBroker
December 2024 - Present · 1 yr 10 mos
The Putney Financial Group LLC
August 2018 - Present · 8 yrs 2 mos
Previous Registrations
Portsmouth Financial ServicesBroker
September 2018 - December 2024 · 6 yrs 3 mos
Portsmouth Financial Services
August 2018 - June 2019 · 10 mos
Presidio Merchant Partners LLCBroker
March 2011 - December 2012 · 1 yr 9 mos
Presidio Capital Advisors LLC
October 2008 - October 2016 · 8 yrs
Presidio Capital Advisors, LLCBroker
May 2004 - September 2010 · 6 yrs 4 mos
Presidio Capital Advisors, LLC
May 2004 - October 2008 · 4 yrs 5 mos
Banc of America Investment Services, INC.
August 2003 - May 2004 · 9 mos
Banc of America Investment Services, INC.Broker
August 2003 - May 2004 · 9 mos
Banc of America Securities LLC
August 2002 - August 2003 · 1 yr
Banc of America Securities LLCBroker
October 1997 - August 2003 · 5 yrs 10 mos
Montgomery SecuritiesBroker
November 1992 - October 1997 · 4 yrs 11 mos
Morgan Stanley & CO., IncorporatedBroker
May 1984 - November 1992 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1983 - March 1984 · 3 mos
State Registrations4 states
AZCAFLWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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