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AW

Alfred H. Walterscheit

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 4230826
AW

Professional summary

Alfred Howard Walterscheit, AIF®, who also goes by Alfred H Walterscheit, Alfred Howard Walterscheit, Alfred Walterscheit, is a registered financial professional currently at COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.

Alfred is registered as a RR (Registered Representative) and started their career in finance in 2001. Alfred has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alfred H Walterscheit | Alfred Howard Walterscheit | Alfred Walterscheit

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 Alfred Howard Walterscheit'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

February 22, 2024 - Present

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

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

June 20, 2019 - February 12, 2024

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

September 4, 2014 - June 14, 2019

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

August 4, 2011 - September 2, 2014

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

May 27, 2010 - July 15, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

May 27, 2010 - July 15, 2011

CLARENDON INSURANCE AGENCY, INC.

BD
CRD#: 7395
WALTHAM, MA
Past

January 7, 2009 - May 20, 2010

PYRAMIS DISTRIBUTORS CORPORATION LLC

BD
CRD#: 146430
SMITHFIELD, RI
Past

October 24, 2008 - February 2, 2009

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

August 18, 2005 - July 2, 2008

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

January 8, 2001 - August 5, 2005

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA

State Registrations and Notice Filings

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

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
Massachusetts
(2/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/6/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/11/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2003
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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