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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-11-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason & Co Llc | Austin | TX | 11/2017 | 11/2017 |
| Legg Mason Investor Services Llc | Stamford | CT | 03/2012 | 11/2017 |
| Clearbridge Investments Llc | New York | NY | 03/2012 | 11/2017 |
| Wells Fargo Funds Distributor, Llc | Boston | MA | 11/2017 | 10/2021 |
| Wells Fargo Funds Management, Llc | Boston | MA | 11/2017 | 10/2021 |
| Lifetime Fitness | Austin | TX | 11/2019 | 07/2020 |
| Allspring Funds Management, Llc | Boston | MA | 11/2021 | Present |
| Allspring Funds Distributor, Llc | Boston | MA | 11/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-26 |
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