John M. 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.
John Michael Putnam was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 14 firms and has passed the Series 63, Series 87, 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
August 11, 2009 - January 9, 2013
CAPSTONE INVESTMENTS
September 6, 2006 - December 8, 2008
DAWSON JAMES SECURITIES, INC.
May 18, 2004 - July 21, 2006
STANFORD GROUP COMPANY
October 7, 2003 - May 6, 2004
SOLEIL SECURITIES CORPORATION
May 7, 2002 - September 24, 2003
DELANO GROUP SECURITIES, L.L.C.
July 29, 1999 - April 8, 2002
GRUNTAL & CO., L.L.C.
November 5, 1998 - July 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 21, 1997 - September 11, 1998
LEERINK PARTNERS LLC
September 30, 1994 - August 29, 1997
CANACCORD GENUITY LLC
May 26, 1992 - August 9, 1994
ALEX. BROWN & SONS INCORPORATED
November 13, 1990 - June 9, 1992
U.S. SECURITIES, INTL. CORP.
October 16, 1989 - October 31, 1990
MARTIN SIMPSON & COMPANY, INC.
April 20, 1988 - January 9, 1989
MABON, NUGENT & CO.
April 24, 1985 - June 28, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPSTONE INVESTMENTS
CRD#: 41400 / SEC#: , 8-49400
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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