THE PUTNAM ADVISORY COMPANY, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 106631). Regulatory assets under management: $33.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 72 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 AND CHIEF ADMINISTRATIVE OFFICER | — |
| GRAYE MITCHELL THOMAS GRENFELL | SENIOR MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| HALDEMAN CHARLES EDGAR | PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT AND CHIEF EXECUTIVE OFFICER AND TRUSTEE OF THE PUTNAM ADVISORY COMPANY TRUST; SENIOR MANAGING DIRECTOR AND CO-HEAD OF INVESTMENTS (+1 more) | — |
| 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 AND CHIEF LEGAL OFFICER; MANAGING DIRECTOR, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-01 | regulatory | THE KOREAN FINANCIAL SUPERVISORY SERVICE CONCLUDED AN ACTION AGAINST THE PUTNAM ADVISORY COMPANY, LLC ("PAC") RELATING TO AN ALLEGED VIOLATION OF SHORT SALE RESTRICTIONS. DUE TO AN OPERATIONAL ERROR IN RESTRICTING DIVIDEND-AWARDED SHARES THAT HAD YET TO BE RECEIVED, PAC INADVERTENTLY SOLD SHARES OF… | Final | $4K |
| 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 | — |
| 2012-10-17 | regulatory | ON OCTOBER 17, 2012, THE MASSACHUSETTS SECURITIES DIVISION ("MSD") FILED AN ADMINISTRATIVE ACTION CONTAINING ALLEGATIONS AGAINST THE PUTNAM ADVISORY COMPANY, LLC ("PAC") AS COLLATERAL MANAGER OF TWO COLLATERALIZED DEBT OBLIGATIONS (CDOS). THE MSD ALLEGED THAT PAC VIOLATED STATE SECURITIES LAW BY ALL… | Final | $950K |