FA
Francine Asselta
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS
New York, NY 10017-2619
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CRD#: 4353091
FA
Professional summary
Francine Asselta is a registered financial professional currently at COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in New York, New York.
Francine is registered as a RR (Registered Representative) and started their career in finance in 2001. Francine has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Francine Asselta'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®
NoneExperience
Current
May 1, 2010 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 485 Lexington Ave Fl 12, New York, NY 10017-2619BD
CRD#: 840
New York, NY
Past
August 20, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
NEW YORK, NY
Past
May 9, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
October 28, 2004 - June 14, 2005
COLUMBIA FINANCIAL CENTER INCORPORATED
BD
CRD#: 23562
PORTLAND, OR
Past
May 2, 2001 - October 31, 2002
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
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
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
Rhode Island(5/1/2010)
RR
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
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
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 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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
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.
