James C. Axford
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.
James Colgate Axford, who also goes by James Axford, Jamie Axford, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
June 19, 2012 - November 21, 2016
PUTNAM INVESTMENT MANAGEMENT, LLC
June 13, 2012 - November 21, 2016
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 3, 2010 - April 16, 2012
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
August 4, 2010 - April 16, 2012
AMUNDI DISTRIBUTOR US, INC.
March 28, 2007 - September 21, 2009
MML INVESTORS SERVICES, LLC
October 20, 2004 - March 5, 2007
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
December 6, 1994 - October 1, 2004
MFS FUND DISTRIBUTORS, INC.
November 22, 1991 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
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
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,432 |
| 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.
