John V. Carberry
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.
John Vincent Carberry was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 4 firms and has passed the Series 63, Series 3, Series 1, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2003 - January 23, 2017
F L PUTNAM INVESTMENT MANAGEMENT CO.
March 15, 2002 - December 31, 2002
F L PUTNAM INVESTMENT MANAGEMENT CO.
July 6, 1998 - August 23, 2000
BOFA DISTRIBUTORS, INC.
November 28, 1997 - January 23, 1998
CITIGROUP GLOBAL MARKETS INC.
January 14, 1975 - January 23, 1998
SALOMON BROTHERS INC.
November 20, 1973 - January 19, 1975
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
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
Series 1
Date: 11/15/1973
Registered Representative ExaminationSeries 12
Date: 2/23/1984
NYSE Branch Manager ExaminationSeries 40
Date: 12/16/1977
Registered Principal ExaminationCurrent Firm
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
Contact information
SEC notice filing (36 States and Territories)
Documents
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 | ||
| 08/21/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
