Robert A. Putnam
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.
Robert Alan Putnam, who also goes by Rob Putnam, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2003. Robert had worked at 9 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - July 9, 2014
SUNSTREET SECURITIES, LLC
March 19, 2010 - November 18, 2010
PRINCIPAL SECURITIES, INC.
March 18, 2010 - November 18, 2010
PRINCIPAL SECURITIES, INC.
January 27, 2010 - March 17, 2010
BROOKSTONE SECURITIES, INC.
January 26, 2010 - March 17, 2010
BROOKSTONE SECURITIES, INC.
August 5, 2009 - January 5, 2010
BROOKSTONE SECURITIES, INC.
August 5, 2009 - January 5, 2010
BROOKSTONE SECURITIES, INC.
January 31, 2008 - August 11, 2009
QUESTAR ASSET MANAGEMENT, INC.
January 9, 2008 - August 11, 2009
QUESTAR CAPITAL CORPORATION
September 1, 2006 - November 23, 2007
NEXT FINANCIAL GROUP, INC.
September 1, 2006 - November 23, 2007
NEXT FINANCIAL GROUP, INC.
June 8, 2005 - June 16, 2006
USALLIANZ SECURITIES, INC.
June 8, 2005 - September 1, 2006
USALLIANZ SECURITIES, INC.
March 11, 2005 - June 7, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
March 10, 2005 - June 7, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
December 3, 2003 - February 14, 2005
1717 CAPITAL MANAGEMENT COMPANY
June 9, 2003 - February 14, 2005
1717 CAPITAL MANAGEMENT COMPANY
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
SUNSTREET SECURITIES, LLC
CRD#: 143211 / SEC#: , 8-67541
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HADDAD, MUNIB SAID | CEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER | 2610231 |
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 5,900,000 |
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.
