James N. Putnam

FIRST COMMAND ADVISORY SERVICES

Cary, NC 27513

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CRD#: 5389821

Professional summary

James Nicholas Putnam, who also goes by Nick Putnam, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Cary, North Carolina and FIRST COMMAND BROKERAGE SERVICES, INC. located in Clayton, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Putnam

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 Nicholas Putnam'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®

None

Experience

Current

December 15, 2015 - Present

FIRST COMMAND ADVISORY SERVICES

Office #1: 1903 N Harrison Ave Suite 102, Cary, NC 27513

RIA

CRD#: 281958

Cary, NC

Current

July 31, 2007 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

Office #2: 1903 N. Harrison Ave Suite 102, Cary, NC 27513

CRD#: 3641

Clayton, NC

Past

August 28, 2007 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

Clayton, NC

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".

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(7/8/2020)

California
(2/3/2023)

Colorado
(10/29/2021)

Florida
(10/8/2021)

Georgia
(2/6/2025)

Louisiana
(2/6/2025)

Maryland
(3/20/2018)

Michigan
(10/19/2023)

Minnesota
(2/13/2023)

Nevada
(4/22/2020)

New Jersey
(10/26/2023)

New Mexico
(6/15/2023)

North Carolina
(8/28/2007)

IAR

North Carolina
(12/15/2015)

North Dakota
(6/13/2024)

Ohio
(7/24/2023)

Oklahoma
(9/7/2022)

Pennsylvania
(6/8/2022)

Texas
(9/13/2022)

IAR

Texas
(9/14/2022)

Virginia
(11/16/2022)

Wyoming
(12/4/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/25/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/30/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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Contact information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone number

(817) 731-8621

Established

Firm type

Fiscal year end

# of Employees

1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (10/30/2024)

DESCRIPTION OF SERVICES (10/30/2024)

Regulatory assets under management

Total Number of Accounts	110,166
AUM (Assets Under Management)	$ 22,090,760,499

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

James N. Putnam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Nicholas Putnam's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2007

Series 63

Date: 8/11/2007

SIE

Date: 10/1/2018

Series 6

Date: 7/30/2007

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST COMMAND ADVISORY SERVICES

TRUST BUT VERIFY

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