Roger N. Begin

F L PUTNAM INVESTMENT MANAGEMENT CO.

Providence, RI 02903

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CRD#: 2477450

Professional summary

Roger N. Begin, CFP®, who also goes by Roger N Begin, is a registered financial advisor currently at F L PUTNAM INVESTMENT MANAGEMENT CO. located in Providence, Rhode Island.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Roger has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger N Begin

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 Roger N. Begin'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 13, 2019 - Present

F L PUTNAM INVESTMENT MANAGEMENT CO.

Office #1: 100 Westminster Street Suite 1004, Providence, RI 02903

RIA

CRD#: 106223

Providence, RI

Past

June 6, 2005 - January 9, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PROVIDENCE, RI

Past

October 20, 2004 - January 9, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PROVIDENCE, RI

Past

September 27, 2004 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

June 16, 1994 - October 25, 2002

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

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".

F L PUTNAM INVESTMENT MANAGEMENT CO.

F L PUTNAM INVESTMENT MANAGEMENT CO. | PUTNAM F L INVESTMENT MANAGEMENT CO | FLP ATRATO CONSULTING

CRD#: 106223 / SEC#: 801-21951

RIA

Registered Investment Advisory firm - (7/30/1984 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.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(2/13/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/15/1994

General Securities Representative Examination

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

F L PUTNAM INVESTMENT MANAGEMENT CO. | PUTNAM F L INVESTMENT MANAGEMENT CO | FLP ATRATO CONSULTING

CRD#: 106223 / SEC#: 801-21951

RIA

Registered Investment Advisory firm - (7/30/1984 Approved)

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Contact information

Main Address

6 Kimball Lane, Lynnfield, MA 01940

Mailing Address

Phone number

(800) 344-3435

Established

Firm type

Fiscal year end

# of Employees

134

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLP FORM ADV PART 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	6,380
AUM (Assets Under Management)	$ 7,695,902,054

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/08/2025	Cover Page	Report
08/21/2025	Cover Page	Report
10/28/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Roger N. Begin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger N. Begin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

FIS SECURITIES, INC.

Primary Firm SEC Registration

F L PUTNAM INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/3/2005

Series 63

Date: 9/1/1995

Series 7

Date: 6/15/1994

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

F L PUTNAM INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

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