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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-16 |
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