Samuel H. Hom
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Samuel Happy Hom was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1986. Samuel had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - May 22, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
September 21, 2005 - May 22, 2014
ALLSPRING FUNDS DISTRIBUTOR, LLC
December 19, 1986 - July 12, 2005
CHARLES SCHWAB & CO., INC.
October 23, 1986 - December 13, 1986
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
ALLSPRING FUNDS MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/20/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSPRING FUNDS MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,065 |
| AUM (Assets Under Management) | $ 318,037,012,784 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
