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AM

Ann R. Moberly

Some features on this profile are disabled
CRD#: 711065
AM

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.

Ann Roslyn Moberly, who also goes by Ann Roslyn Kilkenny, Annie Kilkenny, Ann Roslyn Schwietz, was a registered financial professional .

Ann is a previously registered financial professional and started their career in finance in 1980. Ann had worked at 9 firms and has passed the Series 63, Series 7, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ann Roslyn Kilkenny | Annie Kilkenny | Ann Roslyn Schwietz

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 1, 2010 - September 11, 2013

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
DENVER, CO
Past

May 1, 2010 - September 11, 2013

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
DENVER, CO
Past

May 3, 2005 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

March 1, 1995 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
CORPUS CHRISTI, TX
Past

August 28, 1990 - March 1, 1995

COLONIAL INVESTMENT SERVICES

BD
CRD#: 25929
Past

September 6, 1984 - August 9, 1990

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

December 28, 1982 - September 28, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

April 13, 1982 - January 18, 1983

HANIFEN, IMHOFF INC.

BD
CRD#: 2126
Past

July 1, 1980 - May 17, 1982

OTC NET INCORPORATED

BD
CRD#: 7756

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/17/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/7/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/30/1999
Investment Company Products/Variable Contracts Principal Examination

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)
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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)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CMIA LLC PART 2A (5-28-2025) (5/28/2025)

Regulatory assets under management

Total Number of Accounts6,061
AUM (Assets Under Management)$ 457,482,709,435

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/28/2025
Cover Page
Report

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#: 108257

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