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JP

James L. Putnam

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CRD#: 704528
JP

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.

James Leland Putnam, who also goes by Jim Putnam, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1992. James had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Putnam

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

January 10, 2013 - January 6, 2015

TD AMERITRADE, INC.

RIA
CRD#: 7870
MANCHESTER, NH
Past

January 10, 2013 - January 6, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
MANCHESTER, NH
Past

January 8, 2013 - January 6, 2015

TD AMERITRADE, INC.

BD
CRD#: 7870
MANCHESTER, NH
Past

January 24, 2012 - January 9, 2013

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
MANCHESTER, NH
Past

January 10, 2012 - January 9, 2013

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MANCHESTER, NH
Past

January 14, 2009 - January 17, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LISBON, NH
Past

January 14, 2009 - January 17, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LISBON, NH
Past

September 19, 2007 - January 27, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CONCORD, NH
Past

September 18, 2007 - January 27, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CONCORD, NH
Past

April 16, 2007 - September 20, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

August 15, 2000 - December 31, 2004

JAMES L. PUTNAM INVESTMENT CO. INC.

RIA
CRD#: 116977
CONTOOCOOK, NH
Past

July 30, 1999 - March 13, 2001

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
BOLTON, MA
Past

October 27, 1992 - July 16, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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
Series 63
Date: 5/8/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/8/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/6/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/14/1995
National Commodity Futures Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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