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GP

Gerald D. Putnam

Some features on this profile are disabled
CRD#: 1033935
GP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gerald Dean Putnam JR, who also goes by Jerry Putnam, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1982. Gerald had worked at 11 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 5, Series 7, Series 27, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jerry Putnam

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2002 - December 19, 2005

WAVE SECURITIES, LLC

BD
CRD#: 43705
CHICAGO, IL
Past

August 15, 2002 - September 10, 2008

ARCHIPELAGO SECURITIES L.L.C.

BD
CRD#: 102500
CHICAGO, IL
Past

January 8, 1998 - August 12, 2002

WAVE SECURITIES, LLC

BD
CRD#: 43705
CHICAGO, IL
Past

April 4, 1995 - October 23, 1998

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
Past

December 21, 1994 - April 24, 1995

RCM SECURITIES

BD
CRD#: 15548
CHICAGO, IL
Past

August 6, 1993 - December 31, 1994

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

July 3, 1991 - July 8, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 15, 1989 - July 10, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 1, 1988 - May 22, 1989

JEFFERIES LLC

BD
CRD#: 2347
Past

June 28, 1984 - February 17, 1988

WALSH, GREENWOOD & CO.

BD
CRD#: 8068
Past

January 11, 1983 - May 26, 1984

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

March 30, 1982 - January 19, 1983

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/1/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 6/4/1991
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 3
Date: 1/22/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/4/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/1/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/13/1986
Registered Options Principal Examination

Current Firm

WS
WAVE SECURITIES, LLC
ARCHIPELAGO, L.L.C. | WAVE SECURITIES, LLC

CRD#: 43705 / SEC#: , 8-50376

BD
Terminated by SEC on 09/08/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 12/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPARENT7691
BOYTIM, BRUCE PATRICKCHIEF COMPLIANCE OFFICER, SROP/CROP4194828
LOMBARD, JOSEPH CHRISTOPHERPRESIDENT-GENERAL PRINCIPAL4447291
REGAN, JOSEPH FRANCISFIN OP2119776

Disclosures

Regulatory Event7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WAVE SECURITIES, LLC

CRD#: 43705

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