Thomas J. Walder

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CRD#: 1193093

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.

Thomas John Walder, who also goes by Thomas J Walder, Tom Walder, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas J Walder | Tom Walder

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

April 27, 2011 - July 10, 2012

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

April 27, 2011 - July 10, 2012

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

September 21, 2010 - April 27, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

April 30, 2009 - April 27, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

March 19, 2009 - April 23, 2009

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

EAST LANSING, MI

Past

February 7, 2007 - December 31, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

July 7, 1992 - January 31, 2007

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OKEMOS, MI

Past

September 28, 1983 - December 24, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

IAR

Series 66

Date: 8/5/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/28/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/1997

General Securities Principal 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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Firm Stability Insights

Thomas J. Walder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

WOODBURY FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/5/2010

Series 65

Date: 12/3/1998

Series 63

Date: 10/4/1983

Series 7

Date: 1/28/1997

Series 6

Date: 9/27/1983

Series 24

Date: 8/27/1997

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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