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Current Employers
Allspring Funds Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-12-27
  • CA RA
    APPROVED
    Since 2016-12-27

Branch Locations

Los Angeles, CA • 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
Allspring Global Investments San Francisco CA 06/2010 Present
Allspring Funds Distributor, Llc Los Angeles CA 11/2021 Present
  • 06/2010 → Present
    Allspring Global Investments
    San Francisco, CA
  • 11/2021 → Present
    Allspring Funds Distributor, Llc
    Los Angeles, CA
Previous Registrations
  • 2010-07-09 → 2014-12-31
    San Francisco, CA
  • 2006-03-30 → 2010-06-22
    Wells Fargo Investments, Llc
    San Jose, CA
    San Jose, CA
    Sunnyvale, CA
Other Businesses

Date of OBA: 10/18/2024 Title of OBA: Hollywood Schoolhouse Address of OBA: hshla.org Title/Duties: Parent Association Executive Board - Assist with community events give back to the Hollywood Schoolhouse and foster community by connecting families students faculty and staff. Investment Related: No Hours per quarter: 0-1 During Trading hours: 0 MAI MERKT & MERKT FAMILY TRUST POSITION: Property Owner NATURE: The properties are under the Merkt Family Trust. The Trust does not have any business connection with Wells Fargo and is strictly a family trust. Rental income properties on: 77 Adeline Ave, San Jose, 95136, CA 5707 S 31st Drive, Phoenix, AZ. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 403 N Irving Blvd, Los Angeles CA 90004, United States DESCRIPTION: Accepting payments and coordinating with property manager on maintenance on the rental properties. The rental income was received prior to joining WFAM. 8/13/2023-NEW OBA: 403 N. Irving Blvd, Los Angeles, CA 90004) into an LLC-Rental property 1.)Address of OBA: 403 N. Irving Blvd, Los Angeles, CA 90004 (Start of Rental-8/13/23) 2.)How is ownership held-both titled and office (Office held: Owner, president, etc. is it in a trust, LLC?) LLC 3.)Date of the establishment: TBD sometime in August 4.)Do you receive income from this activity? TBD on income. 5.)How many hours per month do you work at this activity? 1-3 hours 6.)Do you engage in this activity during trading hours? If so, how many per week? No 7.)Is there a conflict in engaging in this activity and your work at Allspring? No 8.)Additional comments: None

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-29
  • S66 Uniform Combined State Law Examination
    2006-03-29
Other Names
  • Mai Huynh
  • Mai Huynh Merkt
  • Maitram P. Huynh
  • Maitram P. Merkt

View on SEC IAPD

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