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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2022-10-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Investments, Llc | Radnor | PA | 01/2008 | 08/2020 |
| Nuveen Asset Management, Llc | Chicago | IL | 09/2011 | 08/2020 |
| New York Life Investments | Newtown Square | PA | 10/2020 | 10/2022 |
| Allspring Funds Distributor, Llc | Charlotte | NC | 09/2022 | Present |
| Allspring Funds Management, Llc | San Francisco | CA | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-09-17 |
| S65 | Uniform Investment Adviser Law Examination | 2002-09-18 |
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