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290 Congress Street, Boston, MA 02210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-09-30 |
Branch Locations
290 Congress Street, Boston, MA 02210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foreside Fund Services, Llc | New York | NY | 02/2015 | 07/2021 |
| Nikko Asset Management Americas, Inc. | New York | NY | 01/2015 | 08/2021 |
| Columbia Management Investment Distributors, Inc. | New York | NY | 09/2024 | Present |
| Full-Time Graduate | New York | NY | 01/2022 | 05/2023 |
| Unemployed | New York | NY | 06/2023 | 09/2024 |
| Unemployed | New York | NY | 09/2021 | 12/2021 |
| Columbia Management Investment Advisers, Llc | New York | NY | 09/2024 | Present |
Name of Activity: 400 PAS 36A, LLC; Date Activity Started/Modified/Ended: 11/16/2017; Type of Activity: Field is Blank!; Role/Relationship: Owner/ Proprietor; Responsibilities: Owner of property; 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 ---
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-30 |
| S65 | Uniform Investment Adviser Law Examination | 2013-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-01-28 |
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