FD
Fred Deserio
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
Randolph, NJ
Some features on this profile are disabled
CRD#: 2257787
FD
Professional summary
Fred Deserio, who also goes by Fred Harrall, is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Randolph, New Jersey and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in New York, New York.
Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Fred has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Harrall
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.
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 ---
CRS (Client Relationship Summary) - RIA
Click below to view Fred Deserio'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®
NoneExperience
Current
September 30, 2024 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
Office #2: 290 Congress Street, Boston, MA 02210RIA
CRD#: 108257
Randolph, NJ
Current
September 6, 2024 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 485 Lexington Ave Fl 12, New York, NY 10017-2619BD
CRD#: 840
New York, NY
Past
December 9, 2015 - March 15, 2022
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
RIA
CRD#: 824
New York, NY
Past
February 9, 2015 - August 2, 2021
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
New York, NY
Past
January 3, 2014 - January 23, 2015
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
December 7, 2007 - January 23, 2015
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
July 15, 2005 - December 7, 2007
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
NEW YORK, NY
Past
March 1, 2005 - July 15, 2005
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
August 10, 1993 - February 22, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(10/1/2024)
RR
Alaska(10/2/2024)
RR
Arizona(10/9/2024)
RR
Arkansas(10/2/2024)
RR
California(10/1/2024)
RR
Colorado(10/1/2024)
RR
Connecticut(10/1/2024)
RR
Delaware(10/2/2024)
RR
District of Columbia(10/4/2024)
RR
Florida(9/30/2024)
RR
Georgia(10/1/2024)
RR
Hawaii(10/10/2024)
RR
Idaho(10/1/2024)
RR
Illinois(10/23/2024)
RR
Indiana(10/2/2024)
RR
Iowa(10/1/2024)
RR
Kansas(10/1/2024)
RR
Kentucky(10/1/2024)
RR
Louisiana(10/10/2024)
RR
Maine(10/1/2024)
RR
Maryland(10/2/2024)
RR
Massachusetts(10/2/2024)
RR
Michigan(10/2/2024)
RR
Minnesota(9/30/2024)
RR
Mississippi(9/30/2024)
RR
Missouri(10/1/2024)
RR
Montana(10/3/2024)
RR
Nebraska(10/1/2024)
RR
Nevada(10/2/2024)
RR
New Hampshire(10/15/2024)
RR
New Jersey(10/1/2024)
RR
New Mexico(10/2/2024)
IAR
New York(9/30/2024)
RR
New York(10/1/2024)
RR
North Carolina(10/1/2024)
RR
North Dakota(10/7/2024)
RR
Ohio(10/1/2024)
RR
Oklahoma(9/30/2024)
RR
Oregon(9/30/2024)
RR
Pennsylvania(10/1/2024)
RR
Puerto Rico(10/10/2024)
RR
Rhode Island(10/1/2024)
RR
South Carolina(9/30/2024)
RR
South Dakota(10/3/2024)
RR
Tennessee(10/1/2024)
RR
Texas(10/1/2024)
RR
Utah(10/1/2024)
RR
Vermont(10/1/2024)
RR
Virgin Islands(10/9/2024)
RR
Virginia(10/1/2024)
RR
Washington(10/1/2024)
RR
West Virginia(10/3/2024)
RR
Wisconsin(10/1/2024)
RR
Wyoming(10/1/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/6/2022
General Securities Representative ExaminationGeneral 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
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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
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.
