Benjamin D. O'connor

F L PUTNAM INVESTMENT MANAGEMENT CO.

PORTLAND, ME 04074

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CRD#: 6051973

Professional summary

Benjamin Dolan O'connor, who also goes by Ben Dolan O'connor, Ben O'connor, Benjamin D Oconnor, Benjamin Dolan Oconnor, is a registered financial advisor currently at F L PUTNAM INVESTMENT MANAGEMENT CO. located in Portland, Maine.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Benjamin has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Dolan O'connor | Ben O'connor | Benjamin D Oconnor | Benjamin Dolan Oconnor

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 Benjamin Dolan O'connor'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

April 26, 2022 - Present

F L PUTNAM INVESTMENT MANAGEMENT CO.

Office #1: 5 Widgery Wharf, Portland, ME 04074

RIA

CRD#: 106223

PORTLAND, ME

Past

October 9, 2020 - April 4, 2022

UBS SECURITIES LLC

CRD#: 7654

BOSTON, MA

Past

November 8, 2017 - April 4, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOSTON, MA

Past

August 22, 2016 - November 9, 2017

LEUCADIA ASSET MANAGEMENT LLC

RIA

CRD#: 121767

Boston, MA

Past

July 8, 2016 - November 9, 2017

JEFFERIES LLC

CRD#: 2347

BOSTON, MA

Past

June 5, 2014 - August 1, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BOSTON, MA

Past

June 4, 2014 - August 1, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

BOSTON, MA

Past

June 24, 2013 - June 5, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 17, 2012 - May 7, 2013

HFP CAPITAL MARKETS LLC

CRD#: 44351

NEW YORK, NY

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".

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
(4/26/2022)

IAR

Massachusetts
(8/1/2025)

IAR

New York
(7/25/2025)

IAR

Texas
(5/23/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/26/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2012

General Securities Representative Examination

Current Firm

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)

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 Accounts	6,380
AUM (Assets Under Management)	$ 7,695,902,054

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Benjamin D. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Dolan O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

LEUCADIA ASSET MANAGEMENT LLC

JEFFERIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BARCLAYS CAPITAL INC.

HFP CAPITAL MARKETS LLC

Primary Firm SEC Registration

F L PUTNAM INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2022

Series 65

Date: 9/26/2014

Series 63

Date: 10/1/2012

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2012

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

F L PUTNAM INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

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