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HH

Hannah R. Hitchcock

Some features on this profile are disabled
CRD#: 7249272
HH

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.

Hannah Rhodes Hitchcock, AIF®, who also goes by Hannah Hitchcock, was a registered financial professional .

Hannah is a previously registered financial professional and started their career in finance in 2020. Hannah had worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hannah Hitchcock

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®
AIF®

Accredited Investment Fiduciary

Experience

Past

August 18, 2022 - January 10, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Boston, MA
Past

August 27, 2021 - July 14, 2022

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

July 23, 2020 - July 14, 2022

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA

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: 5/22/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/23/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2020
Securities Industry Essentials Examination

Current Firm

PR
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
PUTNAM FINANCIAL SERVICES, INC. | PUTNAM/EBERSTADT FINANCIAL SERVICES, INC. | PUTNAM RETAIL MANAGEMENT, INC. | PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | PUTNAM RETAIL MANAGEMENT | PUTNAM MUTUAL FUNDS CORP. | PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 7325 / SEC#: , 8-1369

BD
Terminated by SEC on 10/29/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/26/2001
Firm type
Partnership
Fiscal year end
November
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PUTNAM U.S. HOLDINGS I, LLCOWNER/LP
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
MASOM, JEFFREY SCOTTPRESIDENT2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546
PUTNAM RETAIL MANAGEMENT GP, INCOWNER/GP

Disclosures

Regulatory Event2
Arbitration3

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 RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

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