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Nicholas Edward Bozek

F L Putnam Investment Management Co.

New York, NY

CRD 7983830

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Employer firm

F L Putnam Investment Management Co. CRD 106223

$9.72B regulatory AUM 81 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
F L Putnam Investment Management Co.

6 Kimball Lane, Lynnfield, MA 01940 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-06-10
TX RA APPROVED 2025-10-01
ME RA APPROVED 2024-11-05
  • NY RA
    APPROVED
    Since 2026-06-10
  • TX RA
    APPROVED
    Since 2025-10-01
  • ME RA
    APPROVED
    Since 2024-11-05

Branch Locations

445 Park Avenue 6Th Floor, New York, NY 10022 • 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
OrganizationCityStateFromTo
F. L. Putnam Investment Management Company New York NY 02/2019 Present
Timberland Stratham NH 06/2018 02/2019
Rollins College Winter Park FL 08/2014 05/2018
  • 02/2019 → Present
    F. L. Putnam Investment Management Company
    New York, NY
  • 06/2018 → 02/2019
    Timberland
    Stratham, NH
  • 08/2014 → 05/2018
    Rollins College
    Winter Park, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-10-28
  • S65 Uniform Investment Adviser Law Examination
    2024-10-28
Other Names
  • Nick Bozek

View on SEC IAPD

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