Matthew H. Putnam
Professional summary
Matthew Harris Putnam, AIF®, who also goes by Matthew Harris Putnam, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2002. Matthew has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Harris Putnam's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2016 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 5900 "o" Street, Lincoln, NE 68510-2234January 29, 2016 - March 10, 2016
NYLIFE SECURITIES LLC
March 31, 2015 - November 3, 2015
PARK AVENUE SECURITIES LLC
June 14, 2010 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
February 29, 2008 - May 21, 2010
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
June 20, 2006 - February 29, 2008
MFS FUND DISTRIBUTORS, INC.
April 1, 2005 - April 8, 2005
MMC SECURITIES LLC
May 2, 2002 - April 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/3/2016)
Exams
FINRA
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
Red Flags
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Company Information
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869Lincoln, NE 68510-2234TRUST BUT VERIFY
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