Katharine C. Manning

F L PUTNAM INVESTMENT MANAGEMENT CO.

Boston, MA 02109

Some features on this profile are disabled

CRD#: 2901746

Professional summary

Katharine Celeste Manning, who also goes by Katharine C Manning, Kc Manning, is a registered financial advisor currently at F L PUTNAM INVESTMENT MANAGEMENT CO. located in Boston, Massachusetts.

Katharine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Katharine has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katharine C Manning | Kc Manning

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 Katharine Celeste Manning'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 21, 2019 - Present

F L PUTNAM INVESTMENT MANAGEMENT CO.

Office #1: One Liberty Square Suite 610, Boston, MA 02109

RIA

CRD#: 106223

Boston, MA

Past

March 11, 2004 - July 20, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

BOSTON, MA

Past

December 16, 1998 - March 13, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 9, 1998 - December 14, 1998

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

June 27, 1997 - January 7, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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

Massachusetts
(2/21/2019)

IAR

New Hampshire
(7/25/2025)

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 65

Date: 1/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/1997

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Katharine C. Manning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katharine Celeste Manning's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

1717 CAPITAL MANAGEMENT COMPANY

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

F L PUTNAM INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/1999

Series 63

Date: 7/8/1997

SIE

Date: 7/20/2017

Series 7

Date: 6/26/1997

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

Similar Advisors