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100 Federal St, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-05-31 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Vancouver | WA | 06/2021 | 04/2023 |
| Putnam Investment Management | Boston | MA | 04/2023 | Present |
| Franklin Distributors, Llc | Battle Ground | WA | 07/2024 | Present |
| Putnam Retail Management | Boston | MA | 04/2023 | 07/2024 |
| Waddell & Reed, Inc | Shawnee Mission | KS | 05/2007 | 08/2020 |
| Ivy Distributors, Inc | Shawnee Mission | KS | 05/2007 | 04/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 2014-01-20 |
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