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Current Employers
Columbia Management Investment Advisers, Llc

290 Congress Street, Boston, MA 02210 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-11-13
LA RA APPROVED 2015-12-15
MS RA APPROVED 2015-12-15
OK RA APPROVED 2015-12-10
AR RA APPROVED 2015-12-04
WV RA APPROVED 2014-01-24
MO RA APPROVED 2014-01-16
KS RA APPROVED 2014-01-14
IN RA APPROVED 2014-01-13
IA RA APPROVED 2014-01-13
ND RA APPROVED 2014-01-13
KY RA APPROVED 2014-01-10
SD RA APPROVED 2014-01-09
CO RA APPROVED 2014-01-08
IL RA APPROVED 2014-01-08
MI RA APPROVED 2014-01-08
MN RA APPROVED 2014-01-07
MT RA APPROVED 2014-01-07
NE RA APPROVED 2014-01-07
OH RA APPROVED 2014-01-07
WI RA APPROVED 2014-01-07
PA RA APPROVED 2012-05-25
NJ RA APPROVED 2010-05-01
  • MA RA
    APPROVED
    Since 2025-11-13
  • LA RA
    APPROVED
    Since 2015-12-15
  • MS RA
    APPROVED
    Since 2015-12-15
  • OK RA
    APPROVED
    Since 2015-12-10
  • AR RA
    APPROVED
    Since 2015-12-04
  • WV RA
    APPROVED
    Since 2014-01-24
  • MO RA
    APPROVED
    Since 2014-01-16
  • KS RA
    APPROVED
    Since 2014-01-14
  • IN RA
    APPROVED
    Since 2014-01-13
  • IA RA
    APPROVED
    Since 2014-01-13
  • ND RA
    APPROVED
    Since 2014-01-13
  • KY RA
    APPROVED
    Since 2014-01-10
  • SD RA
    APPROVED
    Since 2014-01-09
  • CO RA
    APPROVED
    Since 2014-01-08
  • IL RA
    APPROVED
    Since 2014-01-08
  • MI RA
    APPROVED
    Since 2014-01-08
  • MN RA
    APPROVED
    Since 2014-01-07
  • MT RA
    APPROVED
    Since 2014-01-07
  • NE RA
    APPROVED
    Since 2014-01-07
  • OH RA
    APPROVED
    Since 2014-01-07
  • WI RA
    APPROVED
    Since 2014-01-07
  • PA RA
    APPROVED
    Since 2012-05-25
  • NJ RA
    APPROVED
    Since 2010-05-01

Branch Locations

Brielle, NJ • United States

290 Congress Street, Boston, MA 02210 • 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
Columbia Funds Distributor, Inc. Boston MA 07/1999 Present
Columbia Management Advisors Llc Boston MA 06/2005 Present
Riversource Investments Minneapolis MN 05/2010 Present
Riversource Fund Distributors, Inc. Boston MA 05/2010 Present
  • 07/1999 → Present
    Columbia Funds Distributor, Inc.
    Boston, MA
  • 06/2005 → Present
    Columbia Management Advisors Llc
    Boston, MA
  • 05/2010 → Present
    Riversource Investments
    Minneapolis, MN
  • 05/2010 → Present
    Riversource Fund Distributors, Inc.
    Boston, MA
Previous Registrations
  • 2005-06-21 → 2010-05-01
    Bofa Advisors, Llc
    Boston, MA
Other Businesses

Co-Owner, Naukabout Beer Company Name of Activity: Manasquan High School Boys Lacrosse Treasurer; Date Activity Started/Modified/Ended: 1/1/2023; Type of Activity: Field is Blank!; Role/Relationship: Other - Treasurer; Responsibilities: Managing Budget and Fund Raising - I will not be providing any financial or direction; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-20
S63 Uniform Securities Agent State Law Examination 1999-08-17
  • S65 Uniform Investment Adviser Law Examination
    2005-06-20
  • S63 Uniform Securities Agent State Law Examination
    1999-08-17

View on SEC IAPD

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