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KR

Karen M. Rogers

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 2817120
KR

Professional summary

Karen Marie Rogers, who also goes by Karen M Rogers, is a registered financial professional currently at COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1999. Karen has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen M Rogers

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Marie Rogers's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 6, 1999 - Present

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

Office #1: 290 Congress Street, Boston, MA 02210
BD
CRD#: 840
Boston, MA
Past

August 5, 2009 - May 17, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 7, 1999 - May 28, 1999

REICH & TANG DISTRIBUTORS, INC.

BD
CRD#: 28078
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/9/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | SELIGMAN MARKETING, INC. | SELIGMAN DISTRIBUTORS, INC. | SELIGMAN ADVISORS, INC. | RIVERSOURCE FUND DISTRIBUTORS, INC. | J & W SELIGMAN & CO. MARKETING, INC.

CRD#: 840 / SEC#: , 8-25845

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
290 Congress Street, Boston, MA 02210
Mailing Address
290 Congress Street Bx 29 20661, Boston, MA 02210
Phone number
(617) 385-9565
Established
Delaware since 04/20/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J. & W. SELIGMAN & CO. INCORPORATEDSOLE STOCKHOLDER
BUFF, STEPHEN ODONNELLVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2143366
BUMPUS, JAMES FREDERICKDIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS1928724
DEFAO, MICHAEL EVICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY2687755
MATTOX, MICHAEL SCOTTCHIEF FINANCIAL OFFICER4383501
TRUSCOTT, WILLIAM FREDERICKCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER2416857
ZEITOUN, MARC CLAUDEDIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT2639942

Disclosures

Civil Event1

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 DISTRIBUTORS, INC.

CRD#: 840Boston, MA 02210

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