Keith Marks
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Keith Marks Email & Phone Number

Chief Compliance Officer at F.L.Putnam Investment Management Company
Location: Lakeville, Connecticut, United States 9 work roles 2 schools
1 work email found @cssregtech.com 2 phones found area 860 LinkedIn matched
✓ Verified July 2026 4 data sources Profile completeness 100%

Contact Signals · 1 work email · 2 phones

Work email k****@cssregtech.com
Direct phone (860) ***-****
LinkedIn Profile matched
3 free lookups remaining · No credit card
Current company
F.L.Putnam Investment Management Company
Role
Chief Compliance Officer
Location
Lakeville, Connecticut, United States
Company size
133 employees

Who is Keith Marks? Overview

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Quick answer

Keith Marks is listed as Chief Compliance Officer at F.L.Putnam Investment Management Company, a with 133 employees, based in Lakeville, Connecticut, United States. AeroLeads shows a work email signal at cssregtech.com, phone signal with area code 860, and a matched LinkedIn profile for Keith Marks.

Keith Marks previously worked as Chief Compliance Officer at Kelleher Financial Advisors and Executive Director at Compliance Solutions Strategies. Keith Marks holds Jd from Western New England University School Of Law.

Company email context

Email format at F.L.Putnam Investment Management Company

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{first}.{last}@cssregtech.com
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AeroLeads found 1 current-domain work email signal for Keith Marks. Compare company email patterns before reaching out.

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Profile bio

About Keith Marks

More than two decades of solutions for investment advisers and broker dealers. From registrations to policy and procedure management through SEC exam management, I have worked through the era of the development of the compliance program rule and many other regulations. I have managed educational platforms for compliance officers and developed Form ADV and policy templates used by thousands of firms. In 2000, I received my Investment Adviser Compliance Specialist designation from National Regulatory Services, which program we then jointly developed into the IAACP with IAA. All the best everyone.

Listed skills include Hedge Funds, Due Diligence, Investments, Investment Advisory, and 45 others.

Current workplace

Keith Marks's current company

Company context helps verify the profile and gives searchers a useful next step.

F.L.Putnam Investment Management Company
F.L.Putnam Investment Management Company
Chief Compliance Officer
Website
flputnam.com
Employees
133
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9 roles

Keith Marks work experience

A career timeline built from the work history available for this profile.

Executive Director

Compliance Solutions Strategies

New York, New York, Us

Keith was involved in the management and distribution of Compliance Solutions Strategies’ (CSS) products and services. Keith worked across CSS to find compliance, regulatory data and reporting solutions that investment managers need. Keith coordinated a team of Directors, Consultants and Compliance Managers who providing outsourced compliance services, including CCO outsourcing, annual compliance program reviews, risk assessments, on-site mock examinations, registration services, cybersecurity services, e-comms surveillance, trading analytics, and code of ethics management. Services are provided to institutional managers, private fund managers, retail wealth advisors, broker dealers and registered investment companies. He also helps coordinate educational conference agendas and speakers. Keith is an author, product contributor, and thought leader. His product contributions have included the design of Ascendant’s FREE Form ADV Part 2 Template distributed to over 6000 advisers in 2010-12, the development of CSS's Compliance Management software, and the production of the Form CRS Automator.

Jan 2017 - Jun 2022

Partner, Senior Consultant, General Counsel

Ascendant Compliance Management

Salisbury, Ct, Us

Ascendant was acquired by CSS near the end of 2016.

Apr 2007 - Jun 2022

Consultant & Director, Investment Adviser Consulting Services

National Regulatory Services

Lakeville, Connecticut, Us

I began as Consultant and registered countless investment advisory firms. Prior to leaving NRS, I managed the Investment Adviser Consulting Services providing mock examinations, risk assessments and annual reviews, and regulatory filing services. Memorable career highlights include panels with SEC Associate Counsel Gene Gohlke helping advisers understand email record retention requirements shortly after Y2K. Also, working with the Investment Adviser Assoc. to develop the IACCP designation and drafting Evolution Revolution for a number of years, along with multiple publications in the Schwab Compliance Review.

Sep 1999 - Apr 2007

Associate

Day Pitney Llp

New York, Ny, Us

Legal practice, litigation specialist; employment law.

Sep 1997 - Sep 1999

Clerk

Connecticut Supreme Court

Clerk for the Honorable Frances M. McDonald.

Sep 1997 - Aug 1998

Law Clerk

Connecticut Appellate Court

Clerk for the Honorable Barry Schaller.

Jun 1995 - Aug 1996
Team & coworkers

Colleagues at F.L.Putnam Investment Management Company

Other employees you can reach at flputnam.com. View company contacts for 133 employees →

JB Jacqui Borukhov, Fpqp™ Jacqui Borukhov, Fpqp™ Colleague at F.L.Putnam Investment Management CompanyGreater Boston, United States View → CP Corey Pomerleau, Cfp® Corey Pomerleau, Cfp® Colleague at F.L.Putnam Investment Management CompanyGreater Boston, United States View → VB Valerie Brown Valerie Brown Colleague at F.L.Putnam Investment Management CompanyGreater Boston, United States View → AN Allan Neskie Allan Neskie Colleague at F.L.Putnam Investment Management CompanyPortland, Maine, United States View → TP Thomas P Fay Thomas P Fay Colleague at F.L.Putnam Investment Management CompanyProvidence, Rhode Island, United States View → AW Andrew Wetzel, Cfa Andrew Wetzel, Cfa Colleague at F.L.Putnam Investment Management CompanyGreater Boston, United States View → MF Matthew Fischer Matthew Fischer Colleague at F.L.Putnam Investment Management CompanyPortland, Maine, United States View → KM Kristen Madden Kristen Madden Colleague at F.L.Putnam Investment Management CompanyWolfeboro, New Hampshire, United States View → RB Robertson Breed Robertson Breed Colleague at F.L.Putnam Investment Management CompanyPortland, Maine Metropolitan Area, United States View → J( Judith (Jody) Cullinane Judith (Jody) Cullinane Colleague at F.L.Putnam Investment Management CompanyProvidence, Rhode Island, United States View →
2 education records

Keith Marks education

Jd

Western New England University School Of Law

Ba, English, Political Science

University Of Connecticut
FAQ

Frequently asked questions about Keith Marks

Quick answers generated from the profile data available on this page.

What company does Keith Marks work for?

Keith Marks works for F.L.Putnam Investment Management Company.

What is Keith Marks's role at F.L.Putnam Investment Management Company?

Keith Marks is listed as Chief Compliance Officer at F.L.Putnam Investment Management Company.

What is Keith Marks's email address?

AeroLeads has found 1 work email signal at @cssregtech.com for Keith Marks at F.L.Putnam Investment Management Company.

What is Keith Marks's phone number?

AeroLeads has found 2 phone signal(s) with area code 860 for Keith Marks at F.L.Putnam Investment Management Company.

Where is Keith Marks based?

Keith Marks is based in Lakeville, Connecticut, United States while working with F.L.Putnam Investment Management Company.

What companies has Keith Marks worked for?

Keith Marks has worked for F.L.Putnam Investment Management Company, Kelleher Financial Advisors, Compliance Solutions Strategies, Ascendant Compliance Management, and National Regulatory Services.

Who are Keith Marks's colleagues at F.L.Putnam Investment Management Company?

Keith Marks's colleagues at F.L.Putnam Investment Management Company include Jacqui Borukhov, Fpqp™, Corey Pomerleau, Cfp®, Valerie Brown, Allan Neskie, and Thomas P Fay.

How can I contact Keith Marks?

You can use AeroLeads to view verified contact signals for Keith Marks at F.L.Putnam Investment Management Company, including work email, phone, and LinkedIn data when available.

What schools did Keith Marks attend?

Keith Marks holds Jd from Western New England University School Of Law.

What skills is Keith Marks known for?

Keith Marks is listed with skills including Hedge Funds, Due Diligence, Investments, Investment Advisory, Securities Regulation, Asset Management, Securities, and Mutual Funds.

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