James E. Putman
Professional summary
James Earl Putman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, James had worked at 3 firms, which includes WEALTH MANAGEMENT LLC, RAYMOND JAMES FINANCIAL SERVICES INC., ALL AMERICAN MANAGEMENT CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 1997 - December 31, 2009
WEALTH MANAGEMENT LLC
December 23, 1987 - July 24, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 1982 - November 1, 1985
ALL AMERICAN MANAGEMENT CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
WEALTH MANAGEMENT LLC
CRD#: 109074 / SEC#: 801-54769
Contact information
Red Flags
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