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Current Employers
Allspring Funds Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2017-11-28
  • MI RA
    APPROVED
    Since 2017-11-28

Branch Locations

Ann Arbor, MI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mcgillycuddy'S Milwaukee WI 06/2004 Present
Wells Fargo Funds Distributor, Llc Menomonee Falls WI 05/2007 10/2021
Wells Fargo Funds Management, Llc Menomonee Falls WI 05/2007 10/2021
Allspring Funds Distributor, Llc Menomonee Falls WI 11/2021 Present
  • 06/2004 → Present
    Mcgillycuddy'S
    Milwaukee, WI
  • 05/2007 → 10/2021
    Wells Fargo Funds Distributor, Llc
    Menomonee Falls, WI
  • 05/2007 → 10/2021
    Wells Fargo Funds Management, Llc
    Menomonee Falls, WI
  • 11/2021 → Present
    Allspring Funds Distributor, Llc
    Menomonee Falls, WI
Other Businesses

Name of OBA: Condo Rental Investment Related: No Address of OBA: 2015 Rabb Glen St. Austin, TX 78704 Nature of Business: Rental Property Position: Co-owner with Spouse Start Date: 10/15/2025 Hours per month: 0 During trading hours: 0 Duties: None, wife is managing property FARM TO CUP CAFEZITO POSITION: Silent partner NATURE: Importing and selling coffee. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2021 ADDRESS: 2908 Dillion Hill Dr, Austin TX 78745, United States DESCRIPTION: Silent partner. I will provide capital. My wife will manage the business. LANCES BAY PROPERTIES POSITION: Investor NATURE: Buying and renting properties. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2021 ADDRESS: 2908 Dillion Hill Dr, Austin TX 78745, United States DESCRIPTION: I will only be an investor in the business. My wife will run the business. LANCES BAY PROPERTIES LLC #2 POSITION: Investor NATURE: My wife and I plan to purchase and rent this property. My wife will manage the property. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/27/2021 ADDRESS: 1300 Newning ave, Unit 204, Austin TX 78704, United States DESCRIPTION: I will be providing capital for this property.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-29
S63 Uniform Securities Agent State Law Examination 2007-07-06
  • S65 Uniform Investment Adviser Law Examination
    2011-03-29
  • S63 Uniform Securities Agent State Law Examination
    2007-07-06

View on SEC IAPD

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