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Current Employers
Allspring Funds Management, Llc

1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-01-16
  • NJ RA
    APPROVED
    Since 2025-01-16

Branch Locations

Ridgewood, NJ • United States

330 Madison Avenue 35Th Floor, New York, NY 10017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Weehawken NJ 08/1999 11/2017
Ubs Ag New York NY 11/2017 05/2020
Invesco New York NY 05/2020 12/2024
Allspring Funds Distributor, Llc New York NY 01/2025 Present
Allspring Funds Management, Llc New York NY 01/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-12
  • S66 Uniform Combined State Law Examination
    2001-03-12
Designations

View on SEC IAPD

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