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100 Federal St, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2020-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Putnam Retail Management | Boston | MA | 07/2012 | 03/2019 |
| Westfield Capital Management | Boston | MA | 03/2019 | 03/2020 |
| Putnam Investment Management | Boston | MA | 03/2020 | Present |
| Franklin Distributors, Llc | Boston | MA | 07/2024 | Present |
| Putnam Retail Management | Boston | MA | 03/2020 | 07/2024 |
Caroline Stone - Sole Proprietor; Concord, MA; Beginning:6/10/2024; Approx: No time devoted during work hours; and no time devoted during normal securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-18 |
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