RP
Rory C. Putnam
CRESTA WESTHALL LLP
LONDON, SW6 3JD
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CRD#: 7447337
RP
Professional summary
Rory Charles Putnam is a registered financial professional currently at CRESTA WESTHALL LLP .
Rory is registered as a RR (Registered Representative) and started their career in finance in 2022. Rory has worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Rory Charles Putnam'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
January 28, 2022 - Present
CRESTA WESTHALL LLP
Office #1: Riverbank House, London, SW6 3JDBD
CRD#: 164986
LONDON,
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
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CRESTA WESTHALL LLP
CRESTA WESTHALL LLP
CRD#: 164986 / SEC#: , 8-69126
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
14 Hanover Square, London, W1S 1HN
Mailing Address
14 Hanover Square, London, W1S 1HN
Phone number
+44 20 7628 8650
Established
Firm type
Partnership
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRESTA ALTERNATIVES LTD. | LIMITED PARTNER | |
| WESTHALL ALTERNATIVES LTD. | LIMITED PARTNER | |
| WESTHALL RESEARCH LTD. | LIMITED PARTNER | |
| WESTHALL CONSULTING LTD | LIMITED PARTNER | |
| FULTON, DOUGLAS GERALD | CCO, EXECUTIVE REPRESENTATIVE | 6097816 |
| HUME, ROBERT IAN | PRINCIPAL | 6097819 |
| KIRSCHENBLATT, CHAD ETHAN | FINOP | 2503352 |
| POUND, RICHARD JOHN | COMPLIANCE OFFICER, AML SUPERVISOR | 2374436 |
Red Flags
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