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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-01-08 |
Branch Locations
330 Madison Avenue 35Th Floor, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason Investor Services, Llc | Stamford | CT | 06/2008 | 03/2018 |
| Legg Mason & Co, Llc. | Stamford | CT | 06/2008 | 03/2018 |
| Clearbridge Investments Llc | New York | NY | 06/2009 | 03/2018 |
| Invesco Distributors, Inc. | New York | NY | 03/2018 | 12/2025 |
| Allspring Funds Distributor, Llc | Charlotte | NC | 01/2026 | Present |
| Allspring Funds Management, Llc. | Charlotte | NC | 01/2026 | Present |
| Allspring Global Investment Holdings Llc | Charlotte | NC | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-09 |
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