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
Nicholas Paul Shumski
NICHOLAS PAUL SHUMSKI, Nicholas Shumski
CRD#: 7410326
IA
Investment Adviser
B
Broker
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCCRD#: 108257 290 CONGRESS STREET
BOSTON, MA 02210
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.CRD#: 840 290 Congress St
BOSTON, MA 02210
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IACOLUMBIA MANAGEMENT INVESTMENT... (CRD# 108257)2023 - Present (1 year)BCOLUMBIA MANAGEMENT INVESTMENT... (CRD# 840)2022 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2022 - 2022 (<1 year)
License(s)

State Registrations

B
Connecticut 3/8/2024
IA
Massachusetts 5/24/2023
B
Florida 3/11/2024
B
Rhode Island 3/8/2024
B
Massachusetts 11/25/2022

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)
IA
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC (CRD#:108257)
290 CONGRESS STREET, BOSTON, MA 02210
Registered with this firm since 5/24/2023
B
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (CRD#:840)
290 Congress St, BOSTON, MA 02210
Brighton, MA
Registered with this firm since 11/25/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/26/2022 - 10/28/2022 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) MERRIMACK, NH
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.