Hal L. Rubin

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CRD#: 406516

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.

Hal Louis Rubin, CFA, who also goes by Hal Rubin, Harry Louis Rubin, was a registered financial professional .

Hal is a previously registered financial professional and started their career in finance in 1970. Hal had worked at 5 firms and has passed the Series 65, Series 1, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hal Rubin | Harry Louis Rubin

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®

CFA

Chartered Financial Analyst

Experience

Past

November 28, 2022 - May 5, 2025

F L PUTNAM INVESTMENT MANAGEMENT CO.

RIA

CRD#: 106223

LYNNFIELD, MA

Past

April 14, 1994 - December 22, 2022

SALEM CAPITAL MANAGEMENT INC

RIA

CRD#: 108622

WOBURN, MA

Past

March 24, 1980 - September 17, 1990

NEW ENGLAND SECURITIES

CRD#: 615

Past

September 24, 1973 - March 8, 1980

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

January 7, 1970 - October 4, 1973

DREXEL BURNHAM & COMPANY INC

CRD#: 1000002

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/30/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 1

Date: 8/29/1960

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/23/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 12/23/1969

Registered Principal 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

Hal L. Rubin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SALEM CAPITAL MANAGEMENT INC

NEW ENGLAND SECURITIES

ALEX. BROWN & SONS INCORPORATED

DREXEL BURNHAM & COMPANY INC

Primary Firm SEC Registration

F L PUTNAM INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1994

Series 1

Date: 8/29/1960

Series 4

Date: 7/23/1977

Series 40

Date: 12/23/1969

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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