Role at Columbia Management Investment Advisers
- Title on Schedule A
- Vice President, Chief Legal Officer, and Assistant Secretary
- Control
- Michael DeFao is a control person of Columbia Management Investment Advisers.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Michael DeFao has held the filed role since October 2021.
The firm
Form ADV filed 23 September 2026
Career on record
- Passed SIE · 2018
- Passed Series 51 · 2003
- Passed Series 7 and Series 24 · 2002
- Passed Series 26 · 1996
- Passed Series 63 and Series 6 · 1995
Registrations and exams
Broker registration; no current adviser registration. Michael DeFao has passed 7 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 5 December 1995 |
| Series 51 | Municipal Fund Securities Principal Examination | 19 February 2003 |
| Series 24 | General Securities Principal Examination | 12 November 2002 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 4 January 1996 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 23 October 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 December 1995 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Michael E DeFao
- CRD
- 2687755
- 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 Michael E. DeFao as a legal executive for North America and Asia Pacific. The firm reports that he earned a B.S. from Babson and a J.D. from Suffolk University Law School. Official firm Form ADV brochure
Education
- B.S., Babson CollegeOfficial firm Form ADV brochure
- J.D., Suffolk University Law SchoolOfficial firm Form ADV brochure
Common questions
Where does Michael DeFao work?
Michael DeFao has been Vice President, Chief Legal Officer, and Assistant Secretary of Columbia Management Investment Advisers, LLC since October 2021, and is a control person of the firm.
Does Michael DeFao have a current investment-adviser registration?
Michael DeFao has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Michael DeFao passed?
Michael DeFao has passed 7 licensing exams: the Series 63, Series 6, Series 26, Series 7, Series 24, Series 51 and SIE. The earliest, the Series 63, was passed in December 1995.
Leadership at Columbia Management Investment Advisers
- Francine AsseltaVice President and Head of North America Institutional Distribution
- Michael ClarkeMember, Board of Governors, Senior Vice President and North America Head of Operations and Investor Services
- Brian EngelkingMember, Board of Governors, Vice President and Chief Financial Officer
- Lee FariaVice President and Chief Compliance Officer
- William TruscottChairman of the Board and President
- Nicolas JanvierHead of Equities, North America
- Joshua KutinHead of Multi-Asset Solutions, North America
- Gene TannuzzoManaging Director and Global Head of Fixed Income