CH
Caroline K. Holt
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
MOUNT PLEASANT, SC
Some features on this profile are disabled
CRD#: 2483883
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Professional summary
Caroline Kelley Holt, CIMA®, who also goes by Leslie Caroline Kelley, is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Mount Pleasant, South Carolina and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.
Caroline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Caroline has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leslie Caroline Kelley
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 Caroline Kelley Holt'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
May 1, 2010 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
MOUNT PLEASANT, SC
Current
May 1, 2010 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 290 Congress St, Boston, MA 02210BD
CRD#: 840
Boston, MA
Past
January 2, 2007 - May 7, 2010
BOFA ADVISORS, LLC
RIA
CRD#: 107900
MOUNT PLEASANT, SC
Past
August 20, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
CHARLOTTE, NC
Past
August 21, 2001 - August 20, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
December 4, 2000 - April 13, 2001
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
December 22, 1997 - June 15, 2000
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
October 7, 1997 - October 29, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
October 1, 1997 - October 9, 1997
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
January 29, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
September 19, 1995 - March 12, 1996
JOHNSTON, LEMON & CO. INCORPORATED
BD
CRD#: 473
WASHINGTON, DC
Past
August 24, 1994 - April 21, 1995
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
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(5/1/2010)
RR
Alaska(5/1/2010)
RR
Arizona(5/1/2010)
RR
Arkansas(5/1/2010)
RR
California(5/1/2010)
RR
Colorado(5/1/2010)
RR
Connecticut(5/1/2010)
RR
Delaware(5/1/2010)
RR
District of Columbia(5/1/2010)
RR
Florida(5/4/2010)
RR
Georgia(5/1/2010)
RR
Hawaii(5/1/2010)
RR
Idaho(5/1/2010)
RR
Illinois(5/1/2010)
RR
Indiana(5/1/2010)
RR
Iowa(5/1/2010)
RR
Kansas(5/1/2010)
RR
Kentucky(5/1/2010)
RR
Louisiana(5/1/2010)
RR
Maine(5/1/2010)
RR
Maryland(5/1/2010)
RR
Massachusetts(5/1/2010)
RR
Michigan(5/1/2010)
RR
Minnesota(5/1/2010)
RR
Mississippi(5/1/2010)
RR
Missouri(5/1/2010)
RR
Montana(5/1/2010)
RR
Nebraska(5/1/2010)
RR
Nevada(5/1/2010)
RR
New Hampshire(5/1/2010)
RR
New Jersey(5/1/2010)
RR
New Mexico(5/1/2010)
RR
New York(5/1/2010)
RR
North Carolina(5/1/2010)
RR
North Dakota(5/1/2010)
RR
Ohio(5/1/2010)
RR
Oklahoma(5/1/2010)
RR
Oregon(5/1/2010)
RR
Pennsylvania(5/1/2010)
RR
Puerto Rico(5/1/2010)
RR
Rhode Island(5/1/2010)
RR
South Carolina(5/1/2010)
IAR
South Carolina(5/1/2010)
RR
South Dakota(5/1/2010)
RR
Tennessee(5/1/2010)
RR
Texas(5/1/2010)
RR
Utah(5/1/2010)
RR
Vermont(5/1/2010)
RR
Virgin Islands(12/12/2012)
RR
Virginia(5/1/2010)
RR
Washington(5/1/2010)
RR
West Virginia(5/1/2010)
RR
Wisconsin(5/1/2010)
RR
Wyoming(5/1/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
CRD#: 108257Mount Pleasant, SCTRUST BUT VERIFY
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Contact information
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