James Nicholas Putnam

First Command Advisory Services

CRD 5389821

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Employer firm

First Command Advisory Services CRD 281958

$24.4B regulatory AUM 1,013 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

First Command Advisory Services

1 Firstcomm Plaza, Fort Worth, TX 76109 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-09-14
NC	RA	APPROVED	2015-12-15

TX RA
APPROVED_RES

Since 2022-09-14
NC RA
APPROVED

Since 2015-12-15

Branch Locations

Belville, NC • United States

1 Firstcomm Plaza, Fort Worth, TX 76109 • United States

1903 N Harrison Ave Suite 102, Cary, NC 27513 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Command Financial Planning, Inc.	Fort Worth	TX	06/2007	Present
First Command Financial Services, Inc.	Fort Worth	TX	06/2007	Present
First Command Advisory Services	Fort Worth	TX	12/2015	Present

06/2007 → Present

First Command Financial Planning, Inc.

Fort Worth, TX
06/2007 → Present

First Command Financial Services, Inc.

Fort Worth, TX
12/2015 → Present

First Command Advisory Services

Fort Worth, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-08-25
S63	Uniform Securities Agent State Law Examination	2007-08-11

S65 Uniform Investment Adviser Law Examination

2007-08-25
S63 Uniform Securities Agent State Law Examination

2007-08-11

Other Names

Nick Putnam

View on SEC IAPD

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