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Francine Asselta

Vice President and Head of North America Institutional Distribution at Columbia Management Investment Advisers

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Francine Asselta is Vice President and Head of North America Institutional Distribution of Columbia Management Investment Advisers, LLC, a Boston investment adviser managing $502B. Francine Asselta has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Columbia Management Investment Advisers

Title on Schedule A
Vice President and Head of North America Institutional Distribution
Control
Francine Asselta is a control person of Columbia Management Investment Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Francine Asselta has held the filed role since January 2024.

The firm

Columbia Management Investment Advisers, LLC
Boston, MA

Form ADV filed 23 September 2026

$502B AUM4,251 clients440 advisers8 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 3 · 2013
  3. Passed Series 63 and Series 24 · 2005
  4. Passed Series 7 · 2001

Registrations and exams

Broker registration; no current adviser registration. Francine Asselta has passed 5 qualifying exams.

Examinations

Series 6327 January 2005
Name
Uniform Securities Agent State Law Examination
Series 2429 June 2005
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 317 June 2013
Name
National Commodity Futures Examination
Series 71 May 2001
Name
General Securities Representative Examination

Individual record

Full name
Francine Asselta
CRD
4353091
Firm
Columbia Management Investment Advisers, LLC
Registration status
Broker registration; no current adviser registration
Firm bio
columbiathreadneedleus.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Columbia Threadneedle identifies Francine Asselta as Vice President and Head of North America Institutional Distribution. Official firm biography

Common questions

Where does Francine Asselta work?

Francine Asselta has been Vice President and Head of North America Institutional Distribution of Columbia Management Investment Advisers, LLC since January 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 23 September 2026

Does Francine Asselta have a current investment-adviser registration?

Francine Asselta has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Francine Asselta passed?

Francine Asselta has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 3 and SIE. The earliest, the Series 7, was passed in May 2001.

Source: IAPD individual record, checked 17 October 2026

Leadership at Columbia Management Investment Advisers

  • Michael Clarke
    Member, Board of Governors, Senior Vice President and North America Head of Operations and Investor Services
  • Michael Defao
    Vice President, Chief Legal Officer, and Assistant Secretary
  • Brian Engelking
    Member, Board of Governors, Vice President and Chief Financial Officer
  • Lee Faria
    Vice President and Chief Compliance Officer
  • William Truscott
    Chairman of the Board and President
  • Nicolas Janvier
    Head of Equities, North America
  • Joshua Kutin
    Head of Multi-Asset Solutions, North America
  • Gene Tannuzzo
    Managing Director and Global Head of Fixed Income

Sources

  1. IAPD individual record, CRD 4353091. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Columbia Management Investment Advisers, LLC, filed 23 September 2026. Title, control and ownership bands.
  3. Columbia Management Investment Advisers team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Francine Asselta or Columbia Management Investment Advisers, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.