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6 Kimball Lane, Lynnfield, MA 01940 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2025-08-01 |
| NY | RA | APPROVED | 2025-07-25 |
| TX | RA | APPROVED_RES | 2025-05-23 |
| ME | RA | APPROVED | 2022-04-26 |
Branch Locations
5 Widgery Wharf, Portland, ME 04074 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jefferies Llc | Boston | MA | 07/2016 | 10/2017 |
| Ubs Financial Services Inc. | Boston | MA | 11/2017 | 03/2022 |
| Ubs Securities Llc | Boston | MA | 10/2020 | 03/2022 |
| F.L. Putnam Investment Management Company | Portland | ME | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-25 |
| S65 | Uniform Investment Adviser Law Examination | 2014-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-01 |
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