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Employer firm

Allspring Funds Management, LLC CRD 110841

$325B regulatory AUM 23 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Allspring Funds Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2018-10-12
  • SC RA
    APPROVED
    Since 2018-10-12

Branch Locations

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

Fort Mill, SC • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Unemployed Silver Spring MD 05/2018 09/2018
Wells Fargo Funds Distributor, Llc Charlotte NC 09/2018 10/2021
Allspring Funds Distributor, Llc Charlotte NC 11/2021 Present
Allspring Funds Management, Llc Charlotte NC 11/2021 Present
Allspring Global Investment Holdings Llc Charlotte NC 01/2026 Present
H. Beck, Inc. Rockville MD 05/2007 05/2018
  • 05/2018 → 09/2018
    Unemployed
    Silver Spring, MD
  • 09/2018 → 10/2021
    Wells Fargo Funds Distributor, Llc
    Charlotte, NC
  • 11/2021 → Present
    Allspring Funds Distributor, Llc
    Charlotte, NC
  • 11/2021 → Present
    Charlotte, NC
  • 01/2026 → Present
    Allspring Global Investment Holdings Llc
    Charlotte, NC
  • 05/2007 → 05/2018
    H. Beck, Inc.
    Rockville, MD
Previous Registrations
  • 2009-08-31 → 2018-05-11
    Grove Point Investments, Llc
    Rockville, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-25
S63 Uniform Securities Agent State Law Examination 1999-01-09
  • S66 Uniform Combined State Law Examination
    2009-08-25
  • S63 Uniform Securities Agent State Law Examination
    1999-01-09
Other Names
  • Connie Mae Williams

View on SEC IAPD

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