PUTNAM INVESTMENT MANAGEMENT, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 106629). Regulatory assets under management: $117.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Investment cos.
Showing 25 of 66 people.
| Name | Role | Location |
|---|---|---|
| James F Clark | CHIEF COMPLIANCE OFFICER | Chicago, IL |
| Burns Thomas | GENERAL COUNSEL | Potchogue, NY |
| Thomas Clifton Merchant | CHIEF LEGAL OFFICER | — |
| Leeor Paul Avigdor | TREASURER | — |
| Thomas Alan Meyers | EXECUTIVE VICE PRESIDENT | — |
| Richard Shepherd Perkins | PRESIDENT | — |
| Lindsey Oshita | CHIEF FINANCIAL OFFICER | — |
| Sonal Desai | EXECUTIVE VICE PRESIDENT | — |
| Adam Jay Petryk | EXECUTIVE VICE PRESIDENT | — |
| REYNOLDS ROBERT LLOYD | CHIEF EXECUTIVE OFFICER; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| DONOVAN WALTER CLEMENS | CHIEF INVESTMENT OFFICER; SENIOR MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | — |
| WOODEN DOUGLAS LOREN | SENIOR MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | — |
| GRAYE MITCHELL THOMAS GRENFELL | SENIOR MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| HALDEMAN CHARLES EDGAR | PRESIDENT AND CHIEF EXECUTIVE OFFICER; SENIOR MANAGING DIRECTOR AND CO-HEAD OF INVESTMENTS; TRUSTEE | — |
| RUYS DE PEREZ CHARLES ANTONY | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| MCNAMARA FRANCIS JOSEPH | CHIEF LEGAL OFFICER; SENIOR MANAGING DIRECTOR AND CHIEF LEGAL OFFICER; TRUSTEE | — |
| KANWAL AMRIT BIR-SINGH | SENIOR MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER; TRUSTEE | — |
| CRONIN KEVIN MICHAEL | MANAGING DIRECTOR, DEPUTY HEAD OF INVESTMENTS; MANAGING DIRECTOR, HEAD OF INVESTMENTS; SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENTS | — |
| ROBIE RICHARD SENTER | SENIOR MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER; TRUSTEE | — |
| SHADEK EDWARD THOMAS | MANAGING DIRECTOR, DEPUTY HEAD OF INVESTMENTS; SENIOR MANAGING DIRECTOR, DEPUTY HEAD OF INVESTMENTS | — |
| BROOKS JOSHUA HUNTINGTON | MANAGING DIRECTOR, DEPUTY HEAD OF INVESTMENTS; SENIOR MANAGING DIRECTOR, DEPUTY HEAD OF INVESTMENTS | — |
| KRICHMAR STEVEN D | CHIEF OF OPERATIONS; SENIOR MANAGING DIRECTOR, CHIEF OF OPERATIONS | — |
| BIBI PHILIPPE | SENIOR MANAGING DIRECTOR, CHIEF TECHNOLOGY OFFICER | — |
| MERCHANT THOMAS CLIFTON | CHIEF LEGAL OFFICER | — |
| WOOLVERTON WILLIAM HENDERSON | MANAGING DIRECTOR; MANAGING DIRECTOR AND CHIEF LEGAL OFFICER; MANAGING DIRECTOR, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THEUSE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIES… | Final | — |
| 2017-03-01 | regulatory | PUTNAM INVESTMENT MANAGEMENT, LLC ("PUTNAM") ENTERED INTO A SETTLEMENT AGREEMENT WITH THE SEC ON SEPTEMBER 27, 2018. THE SETTLEMENT AGREEMENT STATES: (I) A TRADER FORMERLY EMPLOYED BY PUTNAM ENGAGED IN PREARRANGED TRADES IN CERTAIN MORTGAGE-BACKED SECURITIES, (II) AS A RESULT OF THESE UNDISCLOSED PR… | Final | $1.0M |