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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2017-01-30 |
Branch Locations
101 Seaport Blvd 11Th Floor, Boston, MA 02210 • United States
Norfolk, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Fund Distributor | Boston | MA | 06/2012 | 10/2021 |
| Wells Fargo Funds Management, Llc | Boston | MA | 06/2012 | 10/2021 |
| Allspring Funds Distributor, Llc | Boston | MA | 11/2021 | Present |
| Allspring Funds Management, Llc | Boston | MA | 11/2021 | Present |
Massachusetts Department of Corrections, 1 Industries Dr., Norfolk, MA 02056 Nature of other business: Rehabilitation Investment-related business: No Position: Volunteer for Money Smart Program Start date: 6/1/2019 Number of hours per quarter: 6, none during securities trading hours Duties: Provide inmates with basic general financial information
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-11 |
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