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JP

John S. Palmer

Some features on this profile are disabled
CRD#: 1577625
JP

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 Schooler Palmer was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 1, 2012 - November 21, 2016

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

September 16, 2010 - November 21, 2016

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

September 13, 2007 - July 13, 2010

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
CHICAGO, IL
Past

September 11, 2007 - July 13, 2010

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
CHICAGO, IL
Past

August 17, 2004 - February 21, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
CHICAGO, IL
Past

September 29, 2003 - February 21, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

September 17, 1990 - November 22, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

May 1, 1987 - July 20, 1990

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PUTNAM INVESTMENT MANAGEMENT, LLC
37 CAPITAL | PUTNAM PRIVATE ASSET MANAGEMENT | PUTNAM MANAGEMENT | PUTNAM INVESTMENTS | PUTNAM INVESTMENT MANAGEMENT, LLC | PUTNAM INVESTMENT MANAGEMENT INC

CRD#: 106629 / SEC#: 801-7974

RIA
Registered Investment Advisory firm - (11/19/1971 Approved)

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
RR
IAR
Series 66
Date: 8/11/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/11/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/21/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination

Current Firm

PI
PUTNAM INVESTMENT MANAGEMENT, LLC
37 CAPITAL | PUTNAM PRIVATE ASSET MANAGEMENT | PUTNAM MANAGEMENT | PUTNAM INVESTMENTS | PUTNAM INVESTMENT MANAGEMENT, LLC | PUTNAM INVESTMENT MANAGEMENT INC

CRD#: 106629 / SEC#: 801-7974

RIA
Registered Investment Advisory firm - (11/19/1971 Approved)
PREMIUM
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Contact information

Main Address
100 Federal St, Boston, MA 02110
Mailing Address
Phone number
(617) 292-1000
Established
Firm type
Fiscal year end
# of Employees
139

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FTPPG COMBINED SMA BROCHURE DECEMBER 2025 (12/24/2025)
PUTNAM INVESTMENT MANAGEMENT, LLC FORM ADV PART 2A - DECEMBER 2025 (12/24/2025)

Regulatory assets under management

Total Number of Accounts16,432
AUM (Assets Under Management)$ 117,238,832,053

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

PUTNAM INVESTMENT MANAGEMENT, LLC

CRD#: 106629

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