Christopher I. Finch
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.
Christopher Ian Finch was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2015 - January 7, 2024
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
December 1, 2015 - January 7, 2024
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 11, 2014 - November 30, 2015
NATIONWIDE SECURITIES, LLC
January 7, 2013 - November 30, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 14, 2011 - December 31, 2012
JOHN HANCOCK DISTRIBUTORS LLC
December 11, 2002 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
August 14, 2002 - January 22, 2013
MANULIFE INVESTMENT MANAGEMENT (US) LLC
July 31, 2002 - January 8, 2013
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 20, 1999 - July 10, 2002
FIDELITY DISTRIBUTORS COMPANY LLC
June 7, 1999 - September 27, 1999
CITICORP INVESTMENT SERVICES
September 26, 1997 - May 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 1997 - August 26, 1997
PHILADELPHIA BROKERAGE CORPORATION
Primary Firm SEC Registration
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
CRD#: 108257 / SEC#: 801-25943
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
CRD#: 108257 / SEC#: 801-25943
Contact information
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.
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