CS
Caroline L. Stone
PUTNAM INVESTMENT MANAGEMENT
BOSTON, MA 02110
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CRD#: 6105520
CS
Professional summary
Caroline Lindseth Stone, who also goes by Caroline H Lindseth, Caroline L Stone, is a registered financial advisor currently at PUTNAM INVESTMENT MANAGEMENT, LLC located in Boston, Massachusetts and FRANKLIN DISTRIBUTORS, LLC located in Boston, Massachusetts.
Caroline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Caroline has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caroline H Lindseth | Caroline L Stone
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.
Caroline Stone - Sole Proprietor; Concord, MA; Beginning:6/10/2024; Approx: No time devoted during work hours; and no time devoted during normal securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Caroline Lindseth Stone's 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®
NoneExperience
Current
June 9, 2020 - Present
PUTNAM INVESTMENT MANAGEMENT, LLC
Office #1: 100 Federal St, Boston, MA 02110RIA
CRD#: 106629
BOSTON, MA
Current
July 2, 2024 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 Federal Street, Boston, MA 02110BD
CRD#: 109064
Boston, MA
Past
March 30, 2020 - July 2, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Boston, MA
Past
December 2, 2013 - February 25, 2019
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
BOSTON, MA
Past
September 21, 2012 - February 25, 2019
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Boston, 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(7/2/2024)
RR
Alaska(7/2/2024)
RR
Arizona(7/2/2024)
RR
Arkansas(7/2/2024)
RR
California(7/2/2024)
RR
Colorado(7/2/2024)
RR
Connecticut(7/2/2024)
RR
Delaware(7/2/2024)
RR
District of Columbia(7/2/2024)
RR
Florida(7/2/2024)
RR
Georgia(7/2/2024)
RR
Hawaii(7/2/2024)
RR
Idaho(7/2/2024)
RR
Illinois(7/2/2024)
RR
Indiana(7/2/2024)
RR
Iowa(7/2/2024)
RR
Kansas(7/2/2024)
RR
Kentucky(7/2/2024)
RR
Louisiana(7/2/2024)
RR
Maine(7/2/2024)
RR
Maryland(7/2/2024)
IAR
Massachusetts(6/9/2020)
RR
Massachusetts(7/2/2024)
RR
Michigan(7/2/2024)
RR
Minnesota(7/2/2024)
RR
Mississippi(7/2/2024)
RR
Missouri(7/2/2024)
RR
Montana(7/2/2024)
RR
Nebraska(7/2/2024)
RR
Nevada(7/2/2024)
RR
New Hampshire(7/2/2024)
RR
New Jersey(7/2/2024)
RR
New Mexico(7/2/2024)
RR
New York(7/2/2024)
RR
North Carolina(7/2/2024)
RR
North Dakota(7/2/2024)
RR
Ohio(7/2/2024)
RR
Oklahoma(7/2/2024)
RR
Oregon(7/2/2024)
RR
Pennsylvania(7/2/2024)
RR
Rhode Island(7/2/2024)
RR
South Carolina(7/2/2024)
RR
South Dakota(7/2/2024)
RR
Tennessee(7/2/2024)
RR
Texas(7/2/2024)
RR
Utah(7/2/2024)
RR
Vermont(7/2/2024)
RR
Virginia(7/2/2024)
RR
Washington(7/2/2024)
RR
West Virginia(7/2/2024)
RR
Wisconsin(7/2/2024)
RR
Wyoming(7/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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
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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)
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.
Company Information
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629Boston, MA 02110TRUST BUT VERIFY
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