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Current Employers
Allspring Funds Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-08-01
  • CA RA
    APPROVED
    Since 2024-08-01

Branch Locations

Los Angeles, CA • 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
Wells Fargo Funds Distributor, Llc San Francisco CA 04/2005 05/2019
Ifs Financial Services Cincinnati OH 06/2019 04/2021
Touchstone Securities Inc Cincinnati OH 06/2019 04/2021
Thornburg Securities Corp Santa Fe NM 04/2021 Present
Allspring Funds Distributor, Llc Charlotte NC 07/2024 Present
Allspring Funds Management, Llc Charlotte NC 07/2024 Present
  • 04/2005 → 05/2019
    Wells Fargo Funds Distributor, Llc
    San Francisco, CA
  • 06/2019 → 04/2021
    Ifs Financial Services
    Cincinnati, OH
  • 06/2019 → 04/2021
    Touchstone Securities Inc
    Cincinnati, OH
  • 04/2021 → Present
    Thornburg Securities Corp
    Santa Fe, NM
  • 07/2024 → Present
    Allspring Funds Distributor, Llc
    Charlotte, NC
  • 07/2024 → Present
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-25
S63 Uniform Securities Agent State Law Examination 2003-07-16
  • S65 Uniform Investment Adviser Law Examination
    2006-04-25
  • S63 Uniform Securities Agent State Law Examination
    2003-07-16
Designations

View on SEC IAPD

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