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MS

Marie Ellen Sparks

Some features on this profile are disabled
CRD#: 5750145
MS

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.

Marie Ellen Sparks, who also goes by Marie Ellen Ristuccia, Marie E Sparks, Marie Ellen Sparks, Marie Sparks, was a registered financial professional .

Marie Ellen is a previously registered financial professional and started their career in finance in 2010. Marie Ellen had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marie Ellen Ristuccia | Marie E Sparks | Marie Ellen Sparks | Marie Sparks

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.
Name of business: SCORE. Non-profit organization. Not investment-related. Nature of business is mentoring and coaching. Ms. Sparks will be a volunteer mentor, planning education events and activities along with mentoring/coaching individuals regarding small businesses. Start date: 2/3/21. Will devote approximately 5 hours per month, zero during securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 2, 2021 - January 10, 2024

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

February 22, 2021 - January 10, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Boston, MA
Past

June 16, 2014 - December 31, 2020

TD AMERITRADE, INC.

RIA
CRD#: 7870
Westford, MA
Past

June 16, 2014 - January 11, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Westford, MA
Past

May 19, 2014 - December 31, 2020

TD AMERITRADE, INC.

BD
CRD#: 7870
BOSTON, MA
Past

May 23, 2013 - April 28, 2014

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MERRIMACK, NH
Past

May 17, 2013 - April 28, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

July 29, 2010 - May 1, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WELLESLEY, MA
Past

March 31, 2010 - May 1, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WELLESLEY, 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".
PI
PUTNAM INVESTMENT MANAGEMENT, LLC
37 CAPITAL | PUTNAM PRIVATE ASSET MANAGEMENT | PUTNAM MANAGEMENT | PUTNAM INVESTMENTS | PUTNAM INVESTMENT MANAGEMENT, LLC | PUTNAM INVESTMENT MANAGEMENT INC

CRD#: 106629 / SEC#: 801-7974

RIA
Registered Investment Advisory firm - (11/19/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/7/2010
Uniform Combined 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: 3/30/2010
General Securities Representative Examination

Current Firm

PI
PUTNAM INVESTMENT MANAGEMENT, LLC
37 CAPITAL | PUTNAM PRIVATE ASSET MANAGEMENT | PUTNAM MANAGEMENT | PUTNAM INVESTMENTS | PUTNAM INVESTMENT MANAGEMENT, LLC | PUTNAM INVESTMENT MANAGEMENT INC

CRD#: 106629 / SEC#: 801-7974

RIA
Registered Investment Advisory firm - (11/19/1971 Approved)
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Contact information

Main Address
100 Federal St, Boston, MA 02110
Mailing Address
Phone number
(617) 292-1000
Established
Firm type
Fiscal year end
# of Employees
197

SEC notice filing (53 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

FTPPG COMBINED SMA BROCHURE DECEMBER 2024 (1/10/2025)
FTPPG COMBINED SMA BROCHURE SUPPLEMENT DECEMBER 2024 (1/10/2025)
PUTNAM INVESTMENT MANAGEMENT, LLC FORM ADV PART 2A DECEMBER 2024 (12/23/2024)

Regulatory assets under management

Total Number of Accounts559
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.

Company Information

PUTNAM INVESTMENT MANAGEMENT, LLC

CRD#: 106629

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