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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2020-03-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-20 |
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