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290 Congress Street, Boston, MA 02210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-10-26 |
| MA | RA | APPROVED | 2023-10-12 |
| DC | RA | APPROVED | 2023-10-11 |
| NV | RA | APPROVED | 2023-10-05 |
| OR | RA | APPROVED | 2023-09-28 |
| WV | RA | APPROVED | 2023-09-28 |
| AZ | RA | APPROVED | 2023-09-27 |
| GA | RA | APPROVED | 2023-09-25 |
| MT | RA | APPROVED | 2023-09-25 |
| ND | RA | APPROVED | 2023-09-25 |
| VI | RA | APPROVED | 2023-09-25 |
| NJ | RA | APPROVED | 2023-09-22 |
| NM | RA | APPROVED | 2023-09-22 |
| OH | RA | APPROVED | 2023-09-22 |
| SD | RA | APPROVED | 2023-09-22 |
| UT | RA | APPROVED | 2023-09-22 |
| AL | RA | APPROVED | 2023-09-21 |
| AK | RA | APPROVED | 2023-09-21 |
| AR | RA | APPROVED | 2023-09-21 |
| CA | RA | APPROVED | 2023-09-21 |
| CO | RA | APPROVED | 2023-09-21 |
| CT | RA | APPROVED | 2023-09-21 |
| DE | RA | APPROVED | 2023-09-21 |
| HI | RA | APPROVED | 2023-09-21 |
| ID | RA | APPROVED | 2023-09-21 |
| IL | RA | APPROVED | 2023-09-21 |
| IN | RA | APPROVED | 2023-09-21 |
| IA | RA | APPROVED | 2023-09-21 |
| KS | RA | APPROVED | 2023-09-21 |
| KY | RA | APPROVED | 2023-09-21 |
| LA | RA | APPROVED | 2023-09-21 |
| ME | RA | APPROVED | 2023-09-21 |
| MD | RA | APPROVED | 2023-09-21 |
| MI | RA | APPROVED | 2023-09-21 |
| MN | RA | APPROVED | 2023-09-21 |
| MS | RA | APPROVED | 2023-09-21 |
| MO | RA | APPROVED | 2023-09-21 |
| NE | RA | APPROVED | 2023-09-21 |
| NH | RA | APPROVED | 2023-09-21 |
| NY | RA | APPROVED | 2023-09-21 |
| NC | RA | APPROVED | 2023-09-21 |
| OK | RA | APPROVED | 2023-09-21 |
| PA | RA | APPROVED | 2023-09-21 |
| PR | RA | APPROVED | 2023-09-21 |
| RI | RA | APPROVED | 2023-09-21 |
| SC | RA | APPROVED | 2023-09-21 |
| TX | RA | APPROVED | 2023-09-21 |
| VA | RA | APPROVED | 2023-09-21 |
| WA | RA | APPROVED | 2023-09-21 |
| WI | RA | APPROVED | 2023-09-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Columbia Funds Distributor, Inc. | Charlotte | NC | 06/2004 | Present |
| Banc Of America Capital Management, Llc | Charlotte | NC | 02/2005 | Present |
| Riversource Investments | Minneapolis | MN | 05/2010 | Present |
| Riversource Fund Distributors, Inc. | Charlotte | NC | 05/2010 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-19 |
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