Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHRISTOPHER NEIL GOWE
CRD#: 4431673
IA
Investment Adviser
B
Broker
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCCRD#: 108257 Galena, IL
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.CRD#: 840 Galena, IL
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BCOLUMBIA MANAGEMENT DISTRIBUTO... (CRD# 30683)2003 - 2010 (7 years)BAXA ADVISORS, LLC (CRD# 6627)2001 - 2003 (1 year)IACOLUMBIA MANAGEMENT ADVISORS, LLC (CRD# 107900)2005 - 2010 (5 years)IACOLUMBIA MANAGEMENT ADVISORS, INC. (CRD# 105842)2004 - 2005 (1 year)
License(s)

State Registrations

B
Alabama 12/4/2015
B
Montana 5/1/2010
B
Alaska 12/4/2015
IA
Montana 5/1/2010
IA
Alaska 12/7/2015
B
Nebraska 12/4/2015
B
Arizona 12/4/2015
IA
Nebraska 12/4/2015
IA
Arizona 12/17/2015
B
Nevada 7/15/2015
B
Arkansas 12/4/2015
IA
Nevada 7/29/2015
B
California 12/4/2015
B
New Hampshire 12/4/2015
IA
California 12/4/2015
B
New Jersey 12/4/2015
B
Colorado 5/1/2010
B
New Mexico 12/4/2015
IA
Colorado 5/1/2010
IA
New Mexico 12/4/2015
B
Connecticut 12/4/2015
B
New York 12/4/2015
B
Delaware 12/4/2015
B
North Carolina 12/4/2015
B
District of Columbia 12/4/2015
B
North Dakota 12/4/2015
B
Florida 12/4/2015
B
Ohio 12/4/2015
B
Georgia 12/4/2015
B
Oklahoma 12/4/2015
B
Hawaii 12/4/2015
B
Oregon 12/4/2015
IA
Hawaii 3/12/2024
IA
Oregon 12/10/2015
IA
Idaho 12/3/2015
B
Pennsylvania 12/4/2015
B
Idaho 12/4/2015
B
Puerto Rico 12/4/2015
IA
Illinois 12/3/2015
B
Rhode Island 12/4/2015
B
Illinois 12/4/2015
B
South Carolina 12/4/2015
B
Indiana 12/4/2015
IA
South Dakota 12/3/2015
B
Iowa 12/4/2015
B
South Dakota 12/4/2015
IA
Iowa 4/15/2016
B
Tennessee 12/4/2015
B
Kansas 12/4/2015
B
Texas 12/4/2015
IA
Kansas 12/16/2015
IA
Texas 12/7/2015
B
Kentucky 12/4/2015
IA
Utah 12/3/2015
B
Louisiana 12/4/2015
B
Utah 12/4/2015
IA
Louisiana 10/20/2017
B
Vermont 12/4/2015
B
Maine 12/4/2015
B
Virgin Islands 12/4/2015
B
Maryland 12/4/2015
B
Virginia 12/4/2015
B
Massachusetts 12/4/2015
IA
Washington 12/3/2015
B
Michigan 12/4/2015
B
Washington 12/4/2015
B
Minnesota 12/4/2015
B
West Virginia 12/4/2015
B
Mississippi 12/4/2015
B
Wisconsin 12/4/2015
IA
Missouri 12/3/2015
B
Wyoming 5/1/2010
B
Missouri 12/4/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (CRD#:840)
Galena, IL
Registered with this firm since 5/1/2010
IA
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC (CRD#:108257)
Galena, IL
Registered with this firm since 5/1/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/06/2005 - 05/01/2010 COLUMBIA MANAGEMENT ADVISORS, LLC (CRD#:107900) DENVER, CO
B
 05/19/2003 - 05/01/2010 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (CRD#:30683) BOSTON, MA
IA
 04/06/2004 - 04/05/2005 COLUMBIA MANAGEMENT ADVISORS, INC. (CRD#:105842) BOSTON, MA
B
 08/15/2001 - 04/15/2003 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.