DS
Daniel T. Steele
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 2528336
DS
Professional summary
Daniel Thomas Steele, CIMA® is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Boston, Massachusetts and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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 Daniel Thomas Steele'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
August 30, 2018 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
Office #1: 290 Congress Street, Boston, MA 02210RIA
CRD#: 108257
Boston, MA
Current
June 16, 2017 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 290 Congress Street, Boston, MA 02210BD
CRD#: 840
Boston, MA
Past
August 4, 2006 - March 20, 2017
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOSTON, MA
Past
July 19, 2006 - July 11, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
BD
CRD#: 39414
BOSTON, MA
Past
July 14, 2005 - July 31, 2006
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
May 22, 2001 - October 13, 2003
SYMETRA SECURITIES, INC.
BD
CRD#: 739
BELLEVUE, WA
Past
November 9, 1994 - April 3, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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(6/16/2017)
IAR
Alabama(4/3/2024)
RR
Alaska(6/16/2017)
IAR
Alaska(4/3/2024)
RR
Arizona(6/16/2017)
IAR
Arizona(4/24/2024)
RR
Arkansas(6/16/2017)
IAR
Arkansas(4/25/2024)
RR
California(6/16/2017)
RR
Colorado(6/16/2017)
IAR
Colorado(4/4/2024)
RR
Connecticut(6/16/2017)
IAR
Connecticut(4/4/2024)
RR
Delaware(6/16/2017)
IAR
Delaware(4/11/2024)
RR
District of Columbia(6/16/2017)
IAR
District of Columbia(8/5/2024)
RR
Florida(6/16/2017)
IAR
Florida(5/9/2024)
RR
Georgia(6/16/2017)
IAR
Georgia(4/5/2024)
RR
Hawaii(6/16/2017)
IAR
Hawaii(6/19/2024)
RR
Idaho(6/16/2017)
IAR
Idaho(4/3/2024)
RR
Illinois(6/16/2017)
IAR
Illinois(4/12/2024)
RR
Indiana(6/16/2017)
IAR
Indiana(4/4/2024)
RR
Iowa(6/16/2017)
IAR
Iowa(4/5/2024)
RR
Kansas(6/16/2017)
IAR
Kansas(4/4/2024)
RR
Kentucky(6/16/2017)
IAR
Kentucky(4/3/2024)
RR
Louisiana(6/16/2017)
IAR
Louisiana(4/3/2024)
RR
Maine(6/16/2017)
IAR
Maine(4/5/2024)
RR
Maryland(6/16/2017)
IAR
Maryland(4/3/2024)
RR
Massachusetts(6/16/2017)
IAR
Massachusetts(8/30/2018)
RR
Michigan(6/16/2017)
IAR
Michigan(4/9/2024)
RR
Minnesota(6/16/2017)
IAR
Minnesota(4/3/2024)
RR
Mississippi(6/16/2017)
IAR
Mississippi(4/3/2024)
RR
Missouri(6/16/2017)
IAR
Missouri(4/4/2024)
RR
Montana(6/16/2017)
IAR
Montana(4/4/2024)
RR
Nebraska(6/16/2017)
IAR
Nebraska(4/3/2024)
RR
Nevada(6/16/2017)
IAR
Nevada(4/4/2024)
RR
New Hampshire(6/16/2017)
IAR
New Hampshire(4/5/2024)
RR
New Jersey(6/16/2017)
IAR
New Jersey(4/4/2024)
RR
New Mexico(6/16/2017)
IAR
New Mexico(4/4/2024)
RR
New York(6/16/2017)
IAR
New York(4/3/2024)
RR
North Carolina(6/19/2017)
IAR
North Carolina(4/8/2024)
RR
North Dakota(6/16/2017)
IAR
North Dakota(4/8/2024)
RR
Ohio(6/16/2017)
IAR
Ohio(4/3/2024)
RR
Oklahoma(6/16/2017)
IAR
Oklahoma(4/3/2024)
RR
Oregon(6/16/2017)
IAR
Oregon(5/3/2024)
RR
Pennsylvania(6/16/2017)
IAR
Pennsylvania(4/4/2024)
RR
Puerto Rico(6/16/2017)
IAR
Puerto Rico(4/11/2024)
RR
Rhode Island(6/16/2017)
IAR
Rhode Island(4/4/2024)
RR
South Carolina(6/16/2017)
IAR
South Carolina(4/8/2024)
RR
South Dakota(6/16/2017)
IAR
South Dakota(4/8/2024)
RR
Tennessee(6/16/2017)
RR
Texas(6/16/2017)
IAR
Texas(4/3/2024)
RR
Utah(6/16/2017)
IAR
Utah(4/4/2024)
RR
Vermont(6/16/2017)
RR
Virgin Islands(6/16/2017)
IAR
Virgin Islands(4/9/2024)
RR
Virginia(6/16/2017)
IAR
Virginia(4/4/2024)
RR
Washington(6/16/2017)
IAR
Washington(4/3/2024)
RR
West Virginia(6/16/2017)
IAR
West Virginia(4/8/2024)
RR
Wisconsin(6/16/2017)
IAR
Wisconsin(4/4/2024)
RR
Wyoming(6/16/2017)
Exams
State Security Law Exam
State Security Law 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.
Company Information
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
CRD#: 108257Boston, MA 02210TRUST BUT VERIFY
Monitor Daniel Steele
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
