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Bryan A. Schwarz

PUTNAM INVESTMENT MANAGEMENT
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 2412181
BS

Professional summary

Bryan Allen Schwarz is a registered financial advisor currently at PUTNAM INVESTMENT MANAGEMENT, LLC located in Boston, Massachusetts and FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.

Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Bryan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Bryan Allen Schwarz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 7, 2012 - Present

PUTNAM INVESTMENT MANAGEMENT, LLC

Office #1: 100 Federal St, Boston, MA 02110
RIA
CRD#: 106629
BOSTON, MA
Current

July 2, 2024 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078
BD
CRD#: 109064
Short Hills, NJ
Past

October 18, 2011 - July 2, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

September 24, 2002 - September 22, 2011

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

February 26, 2001 - September 22, 2011

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

January 1, 1997 - February 7, 2001

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

November 19, 1993 - January 1, 1997

FLAGSHIP FUNDS INC.

BD
CRD#: 13420
DAYTON, OH

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/2/2024)
RR
Connecticut
(7/2/2024)
RR
Florida
(7/2/2024)
RR
Illinois
(7/2/2024)
IAR
Massachusetts
(2/7/2012)
RR
Massachusetts
(7/2/2024)
RR
Missouri
(7/2/2024)
RR
New York
(7/2/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/14/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/18/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)
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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
197

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 2024 (1/10/2025)
FTPPG COMBINED SMA BROCHURE SUPPLEMENT DECEMBER 2024 (1/10/2025)
PUTNAM INVESTMENT MANAGEMENT, LLC FORM ADV PART 2A DECEMBER 2024 (12/23/2024)

Regulatory assets under management

Total Number of Accounts559
AUM (Assets Under Management)$ 85,208,444,537

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#: 106629Boston, MA 02110

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