Susanne Stauffer
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.
Susanne Stauffer, who also goes by Susann Stauffer, was a registered financial professional .
Susanne is a previously registered financial professional and started their career in finance in 1982. Susanne had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2003 - January 23, 2017
F L PUTNAM INVESTMENT MANAGEMENT CO.
January 1, 2000 - December 31, 2002
F L PUTNAM INVESTMENT MANAGEMENT CO.
January 4, 1999 - May 30, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 27, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 5, 1994 - November 7, 1997
HOWE, MENDALL & ASSOCIATES, INC.
December 21, 1988 - December 31, 1993
ROBERT THOMAS SECURITIES, INC
September 30, 1985 - January 20, 1988
ADVEST, INC.
August 26, 1982 - September 30, 1985
BURGESS & LEITH INCORPORATED
Primary Firm SEC Registration
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
Contact information
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,380 |
| AUM (Assets Under Management) | $ 7,695,902,054 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/08/2025 | ||
| 08/21/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
