Brennan M. Jones
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.
Brennan Michael Jones, who also goes by Brennan M Jones, was a registered financial professional .
Brennan is a previously registered financial professional and started their career in finance in 2011. Brennan had worked at 3 firms and has passed the Series 66, SIE 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
August 27, 2012 - November 4, 2014
PUTNAM INVESTMENT MANAGEMENT, LLC
August 20, 2012 - November 4, 2014
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 19, 2012 - August 8, 2012
COMMONWEALTH FINANCIAL NETWORK
November 5, 2011 - August 8, 2012
COMMONWEALTH FINANCIAL NETWORK
Primary Firm SEC Registration
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
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
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 559 |
| AUM (Assets Under Management) | $ 85,208,444,537 |
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.
