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1415 Vantage Park Drive 3Rd Floor, Charlotte, NC 28203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2016-12-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Funds Distributor, Llc | Menomonee Falls | WI | 04/2005 | 10/2021 |
| Wells Fargo Funds Management, Llc | Menomonee Falls | WI | 04/2005 | 10/2021 |
| Allspring Global Investments, Llc | Menomonee Falls | WI | 11/2021 | 03/2026 |
| Allspring Funds Distributor, Llc | Menomonee Falls | WI | 11/2021 | Present |
| Allspring Global Investments, Llc | Milwaukee | WI | 04/2026 | Present |
Update:- As of 8/2022-No longer Chair of the Board for Secure Futures. Now an advisory board member. SECURE FUTURES POSITION: Chair of Board, member of Fund Development Committee NATURE: Non-profit that provides volunteer financial literacy curriculum to high school students INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2015 ADDRESS: 710 N Plankinton Ave, Suite 1400, Milwaukee WI 53203, United States DESCRIPTION: Attend Board and committee meetings. As Chair of the Board, I facilitate the board meetings. In addition, I now have a monthly call with the CEO of Secure Futures to talk thru ongoing developments at the organization. My role on the Fund development committee is simply as a volunteer. I attend meetings when I can to offer ideas. I do not have any formal responsibilities with that committee. Help with volunteer recognition and fund development ideas. SECURE FUTURES POSITION: Board member, member of Fund Development Committee NATURE: Non-profit that provides volunteer financial literacy curriculum to high school students INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2015 ADDRESS: 710 N Plankinton Ave, Suite 1400, Milwaukee WI 53203, United States DESCRIPTION: Attend Board and committee meetings. As Chair of the Board, I facilitate the board meetings. In addition, I now have a monthly call with the CEO of Secure Futures to talk thru ongoing developments at the organization. My role on the Fund development committee is simply as a volunteer. I attend meetings when I can to offer ideas. I do not have any formal responsibilities with that committee. Help with volunteer recognition and fund development ideas.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-24 |
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