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Felix Touchard

Some features on this profile are disabled
CRD#: 2426200
FT

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.

Felix Touchard, who also goes by Felix Francois Touchard IV, Felix Francois Touchard, Felix Touchard Iv, Felix Touchard Iv Iv, was a registered financial professional .

Felix is a previously registered financial professional and started their career in finance in 1994. Felix had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Felix Francois Touchard Iv | Felix Francois Touchard | Felix Touchard Iv | Felix Touchard Iv Iv

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

January 3, 2024 - August 7, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
STAMFORD, CT
Past

February 22, 2021 - October 9, 2025

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

February 3, 2015 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
STAMFORD, CT
Past

April 21, 2014 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
STAMFORD, CT
Past

June 1, 2010 - April 7, 2014

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
NEW YORK, NY
Past

February 16, 2007 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

October 3, 2006 - March 16, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 14, 2005 - January 13, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 10, 2003 - July 15, 2003

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA
CRD#: 109211
SHELTON, CT
Past

July 7, 2000 - July 15, 2003

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

July 25, 1997 - December 23, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

June 6, 1995 - March 11, 1996

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

March 23, 1994 - June 1, 1995

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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
IAR
Series 65
Date: 5/10/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/1994
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: 3/22/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 7/20/2018
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/2014
General Securities Principal Examination

Current Firm

PR
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
PUTNAM FINANCIAL SERVICES, INC. | PUTNAM/EBERSTADT FINANCIAL SERVICES, INC. | PUTNAM RETAIL MANAGEMENT, INC. | PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | PUTNAM RETAIL MANAGEMENT | PUTNAM MUTUAL FUNDS CORP. | PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 7325 / SEC#: , 8-1369

BD
Terminated by SEC on 10/29/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/26/2001
Firm type
Partnership
Fiscal year end
November
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PUTNAM U.S. HOLDINGS I, LLCOWNER/LP
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
MASOM, JEFFREY SCOTTPRESIDENT2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546
PUTNAM RETAIL MANAGEMENT GP, INCOWNER/GP

Disclosures

Regulatory Event2
Arbitration3

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 RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

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