Steven R. Schroll

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CRD#: 1011604

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Robert Schroll was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 31, 2014 - June 7, 2018

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

April 30, 2009 - August 24, 2011

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

January 2, 2009 - August 24, 2011

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

MINNEAPOLIS, MN

Past

January 2, 2008 - January 2, 2009

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

December 19, 2000 - February 28, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 19, 2000 - December 31, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 12, 1988 - December 11, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

January 19, 1983 - December 20, 1985

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

CRD#: 108257 / SEC#: 801-25943

RIA

Registered Investment Advisory firm - (12/20/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/10/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Current Firm

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

CRD#: 108257 / SEC#: 801-25943

RIA

Registered Investment Advisory firm - (12/20/1985 Approved)

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Contact information

Main Address

290 Congress Street, Boston, MA 02210

Mailing Address

Phone number

(800) 225-2365

Established

Firm type

Fiscal year end

# of Employees

910

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CMIA LLC PART 2A (5-28-2025) (5/28/2025)

Regulatory assets under management

Total Number of Accounts	6,061
AUM (Assets Under Management)	$ 457,482,709,435

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/28/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven R. Schroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PIPER SANDLER & CO.

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/1988

Series 7

Date: 1/15/1983

Current Firm

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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