TR
Troy M. Rossow
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 1612619
TR
Professional summary
Troy Marvin Rossow, CFP®, CIMA® is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Minneapolis, Minnesota and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Troy has worked at 8 firms and has passed the Series 63, Series 66, Series 3, SIE, Series 7, Series 6 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Marvin Rossow's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 10, 2022 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402RIA
CRD#: 108257
Minneapolis, MN
Current
January 10, 2022 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402BD
CRD#: 840
Minneapolis, MN
Past
January 2, 2020 - December 20, 2021
FORESIDE FINANCIAL SERVICES, LLC
BD
CRD#: 148477
Minneapolis, MN
Past
January 8, 2016 - December 31, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
BD
CRD#: 146711
MINNEAPOLIS, MN
Past
October 2, 2002 - August 19, 2004
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNETONKA, MN
Past
August 5, 2002 - August 19, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 15, 1991 - August 12, 1994
CMP EQUITIES, INC.
BD
CRD#: 19686
Past
March 15, 1988 - October 17, 1990
INTERCAP FINANCIAL CORPORATION
BD
CRD#: 15420
Past
January 6, 1987 - January 4, 1988
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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".
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/10/2022)
RR
Alaska(1/10/2022)
RR
Arizona(1/10/2022)
RR
Arkansas(1/10/2022)
RR
California(1/10/2022)
RR
Colorado(1/10/2022)
RR
Connecticut(1/10/2022)
RR
Delaware(1/10/2022)
RR
District of Columbia(1/10/2022)
RR
Florida(1/10/2022)
RR
Georgia(1/10/2022)
RR
Hawaii(1/10/2022)
RR
Idaho(1/10/2022)
RR
Illinois(1/10/2022)
RR
Indiana(1/10/2022)
RR
Iowa(1/10/2022)
RR
Kansas(1/10/2022)
RR
Kentucky(1/10/2022)
RR
Louisiana(1/10/2022)
RR
Maine(1/10/2022)
RR
Maryland(1/10/2022)
RR
Massachusetts(1/10/2022)
RR
Michigan(1/10/2022)
RR
Minnesota(1/10/2022)
IAR
Minnesota(1/10/2022)
RR
Mississippi(1/10/2022)
RR
Missouri(1/10/2022)
RR
Montana(1/10/2022)
RR
Nebraska(1/10/2022)
RR
Nevada(1/10/2022)
RR
New Hampshire(1/10/2022)
RR
New Jersey(1/10/2022)
RR
New Mexico(1/10/2022)
RR
New York(1/10/2022)
RR
North Carolina(1/10/2022)
RR
North Dakota(1/10/2022)
RR
Ohio(1/10/2022)
RR
Oklahoma(1/10/2022)
RR
Oregon(1/10/2022)
RR
Pennsylvania(1/10/2022)
RR
Puerto Rico(1/10/2022)
RR
Rhode Island(1/10/2022)
RR
South Carolina(1/10/2022)
RR
South Dakota(1/10/2022)
RR
Tennessee(1/10/2022)
RR
Texas(1/10/2022)
RR
Utah(1/10/2022)
RR
Vermont(1/10/2022)
RR
Virgin Islands(1/10/2022)
RR
Virginia(1/10/2022)
RR
Washington(1/10/2022)
RR
West Virginia(1/10/2022)
RR
Wisconsin(1/10/2022)
RR
Wyoming(1/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
Registered Investment Advisory firm - (12/20/1985 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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 |
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.
