Donald H. Putnam
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.
Donald Harding Putnam, who also goes by Donald Harding Putnam Jr, Donald Harding Jr Putnam, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1982. Donald had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2005 - April 14, 2017
GRAIL SECURITIES, LLC
April 1, 2005 - July 13, 2005
COWEN PRIME SERVICES TRADING LLC
November 18, 1988 - February 28, 2005
NATIONAL BANK OF CANADA FINANCIAL INC.
May 2, 1988 - August 20, 1988
SEI INVESTMENTS DISTRIBUTION CO.
August 31, 1982 - January 1, 1987
SEI INVESTMENTS DISTRIBUTION CO.
State Registrations and Notice Filings
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Exams
Current Firm
GRAIL SECURITIES, LLC
CRD#: 136258 / SEC#: , 8-66994
Contact information
Documents
Red Flags
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