Carl M. Spigelmeyer
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.
Carl Marvin Spigelmeyer III, who also goes by Carl Marvin III Spigelmeyer, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1996. Carl had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2008 - January 26, 2015
PUTNAM INVESTMENT MANAGEMENT, LLC
July 5, 2006 - February 4, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
January 15, 1998 - January 26, 2015
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 17, 1996 - January 8, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
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
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 559 |
| 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.
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