AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SE

Shannon F. Elia

Some features on this profile are disabled
CRD#: 5753170
SE

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.

Shannon Finn Elia, who also goes by Shannon M Elia, Shannon M Finn, Shannon Marie Finn, Shannon Finn, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 2010. Shannon had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon M Elia | Shannon M Finn | Shannon Marie Finn | Shannon Finn

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)

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

June 13, 2016 - January 11, 2022

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

June 7, 2016 - January 11, 2022

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Boston, MA
Past

April 5, 2011 - May 23, 2016

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
BOSTON, MA
Past

August 30, 2010 - May 23, 2016

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

February 23, 2010 - August 4, 2010

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
ANDOVER, 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: 1/14/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/24/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/22/2010
Investment Company Products/Variable Contracts 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Shannon Elia

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.