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JK

Jonathan D. Kingery

Some features on this profile are disabled
CRD#: 2768715
JK

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.

Jonathan Daniel Kingery, AIF®, CFP®, who also goes by Jonathan Daniel Kingery, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan Daniel Kingery

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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Experience

Past

January 2, 2024 - July 3, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Short Hills, NJ
Past

August 1, 2020 - September 25, 2025

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
Short Hills, NJ
Past

March 25, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SHORT HILLS, NJ
Past

March 14, 2019 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SHORT HILLS, NJ
Past

November 15, 2004 - February 11, 2019

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
GREENVILLE, DE
Past

November 15, 2004 - February 11, 2019

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

October 25, 2004 - November 12, 2004

UNDERWRITERS EQUITY CORPORATION

BD
CRD#: 36537
HARRISBURG, PA
Past

October 29, 2001 - December 3, 2002

THE AMBROSE & GUIDOTTI FINANCIAL GROUP

RIA
CRD#: 108395
CHADDS FORD , PA
Past

September 21, 2001 - December 20, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

March 27, 1998 - September 27, 2001

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 18, 1996 - April 6, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 18, 1996 - April 6, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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: 3/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2019
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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