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Current Employers
Allspring Funds Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2020-03-04
  • WI RA
    APPROVED
    Since 2020-03-04

Branch Locations

Wauwatosa, WI • United States

417 E. Chicago Street, Milwaukee, WI 53202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Capital Management Menomonee Falls WI 02/2011 10/2018
Allspring Funds Distributor, Llc Menomonee Falls WI 11/2021 Present
Wells Fargo Funds Distributor, Llc. Menomonee Falls WI 10/2018 10/2021
Allspring Global Investments, Llc Menomonee Falls WI 11/2021 Present
Allspring Funds Managment, Llc Menomonee Falls WI 11/2021 Present
  • 02/2011 → 10/2018
    Wells Capital Management
    Menomonee Falls, WI
  • 11/2021 → Present
    Allspring Funds Distributor, Llc
    Menomonee Falls, WI
  • 10/2018 → 10/2021
    Wells Fargo Funds Distributor, Llc.
    Menomonee Falls, WI
  • 11/2021 → Present
    Allspring Global Investments, Llc
    Menomonee Falls, WI
  • 11/2021 → Present
    Allspring Funds Managment, Llc
    Menomonee Falls, WI
Previous Registrations
Other Businesses

NAME OF OBA: CRISTO REY MILWAUKEE NMTC SPE, INC. POSITION: Board Member NATURE of BUSINESS ACTIVITY: Cristo Rey Milwaukee NMTC SPE will be established as a requirement of Cristo Rey High School's participation in the New Markets Tax Credit program as part of the high school's financing structure for their construction project of a new high school. Cristo Rey High School will form a new 501(c)(3) corporation, and plan to call it Cristo Rey Milwaukee NMTC SPE, Inc. ("SPE"). The activity is limited to holding the assets for the school, collecting the lease income and making payments on the project financing. The activity at the SPE is limited so don't envision the board's role as being very extensive. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/30/2019 ADDRESS: 1818 West National, Milwaukee WI 53204, United States DESCRIPTION: My role would be as one of several Board members, who will serve to provide oversight of the previously arranged financing structure and loan payments as required by the federal New Markets Tax Credit program. There would be no investment pools of capital to allocate or invest as part of this entity or role, and no fundraising duties. Expectation is that responsibilities of this Board and this position are very limited. Name and Address of OBA : Cristo Rey Jesuit High School Milwaukee1818 West National, Milwaukee WI 53204 Position/Duties: volunteer Governance Board Member for private school, duties include overseeing endowment fund, Start Date: started in 2022 Time Spent per month: spend 1 or less hours per month and no time during market hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-28
S63 Uniform Securities Agent State Law Examination 1993-08-20
  • S65 Uniform Investment Adviser Law Examination
    1999-09-28
  • S63 Uniform Securities Agent State Law Examination
    1993-08-20

View on SEC IAPD

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