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James Andrew Waggett

James A. Waggett

F L PUTNAM INVESTMENT MANAGEMENT CO.
Needham, MA 02494
Some features on this profile are disabled
CRD#: 4687491
James Andrew Waggett

Professional summary

James Andrew Waggett, CFP®, who also goes by James Andrew Waggett, James Waggett, Jim Waggett, is a registered financial advisor currently at F L PUTNAM INVESTMENT MANAGEMENT CO. located in Needham, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Andrew Waggett | James Waggett | Jim Waggett

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 James Andrew Waggett'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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Current

May 10, 2022 - Present

F L PUTNAM INVESTMENT MANAGEMENT CO.

Office #1: 250 1st Avenue Suite 301, Needham, MA 02494
RIA
CRD#: 106223
Needham, MA
Past

September 2, 2020 - March 15, 2022

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WELLESLEY, MA
Past

August 11, 2020 - August 28, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
MONTVALE, NJ
Past

July 17, 2020 - August 28, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MONTVALE, NJ
Past

August 23, 2016 - October 4, 2019

TD PRIVATE CLIENT WEALTH LLC

RIA
CRD#: 164484
BOSTON, MA
Past

August 23, 2016 - October 4, 2019

TD PRIVATE CLIENT WEALTH LLC

BD
CRD#: 164484
BOSTON, MA
Past

November 27, 2012 - June 8, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

July 16, 2003 - October 25, 2004

LIBERTY ASSET MANAGEMENT COMPANY

RIA
CRD#: 104713
BOSTON, MA

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".
FL
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
Maine
(8/5/2025)
IAR
Massachusetts
(5/10/2022)
IAR
New Hampshire
(8/5/2025)
IAR
Virginia
(8/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/3/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/20/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2012
General Securities Representative Examination

Current Firm

FL
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts6,380
AUM (Assets Under Management)$ 7,695,902,054

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

F L PUTNAM INVESTMENT MANAGEMENT CO.

CRD#: 106223Needham, MA 02494

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