Christopher B. Yuan

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CRD#: 6118308

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.

Christopher Bowen Yuan was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2014. Christopher had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

February 7, 2020 - January 24, 2024

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

January 28, 2020 - January 24, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

Boston, MA

Past

July 23, 2018 - September 18, 2019

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

Boston, MA

Past

August 31, 2015 - June 25, 2018

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

WINDSOR, CT

Past

August 31, 2015 - June 25, 2018

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

Windsor, CT

Past

November 5, 2014 - February 17, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

February 15, 2014 - February 17, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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".

PUTNAM INVESTMENT MANAGEMENT, LLC

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.

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: 10/27/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/22/2014

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: 2/15/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/2023

General Securities Principal Examination

Current Firm

PUTNAM INVESTMENT MANAGEMENT, LLC

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)

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 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.

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Advisor Monitoring

Firm Stability Insights

Christopher B. Yuan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

PUTNAM INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2014

Series 63

Date: 2/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 2/15/2014

Series 24

Date: 2/10/2023

Current Firm

PUTNAM INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PUTNAM INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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