Steven L. Putterman
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.
Steven Lee Putterman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 5 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2011 - March 16, 2012
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 11, 2005 - November 29, 2010
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 28, 2002 - November 18, 2003
VP DISTRIBUTORS LLC
October 15, 1993 - September 5, 2000
VOYA FINANCIAL PARTNERS, LLC
July 27, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
CRD#: 5496 / SEC#: , 8-16198
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | 100% SHAREHOLDER | |
| DAVIS, SCOTT | DIRECTOR | |
| HAYNES, NEIL LEONARD | DIRECTOR | 6405143 |
| HEALY, DAVID JAMES | PRESIDENT & DIRECTOR | 4103309 |
| KALLAS, COLLEEN LOUISE | SECRETARY | 6910605 |
| MURRAY, THOMAS JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1894655 |
| WORMUTH, LAURA MANDOLINI | FINANCIAL/OPERATIONS PRINCIPAL AND TREASURER | 6063656 |
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.
