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DK

David Kashtan

Some features on this profile are disabled
CRD#: 1205312
DK

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.

David Kashtan, who also goes by David Andrew Kashtan, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 8, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Andrew Kashtan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 11, 2020 - April 17, 2026

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Manahawkin, NJ
Past

June 9, 2020 - April 17, 2026

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

October 16, 2017 - May 5, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RED BANK, NJ
Past

October 16, 2017 - May 5, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RED BANK, NJ
Past

October 5, 2015 - September 6, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RED BANK, NJ
Past

October 2, 2015 - September 6, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RED BANK, NJ
Past

June 30, 2014 - August 21, 2015

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
COLUMBUS, OH
Past

June 30, 2014 - August 21, 2015

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
COLUMBUS, OH
Past

October 11, 2007 - July 29, 2013

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
RIDGEWOOD, NJ
Past

October 11, 2007 - July 29, 2013

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
RIDGEWOOD, NJ
Past

October 4, 2006 - September 7, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
HAWTHORNE, NJ
Past

October 4, 2006 - September 7, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
HAWTHORNE, NJ
Past

February 10, 2006 - October 4, 2006

BNY INVESTMENT CENTER INC.

RIA
CRD#: 47683
MADISON, NJ
Past

February 10, 2006 - October 4, 2006

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
MADISON, NJ
Past

August 20, 2005 - August 29, 2005

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

January 12, 2005 - September 7, 2005

BOFA ADVISORS, LLC

RIA
CRD#: 107900
RIDGEWOOD, NJ
Past

January 12, 2005 - August 20, 2005

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

October 20, 2004 - January 12, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PARAMUS, NJ
Past

October 20, 2004 - January 12, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

August 26, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
NEW YORK, NY
Past

July 31, 2002 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

November 7, 2001 - February 21, 2002

DREYFUS INVESTMENT SERVICES COMPANY, LLC

BD
CRD#: 17477
PITTSBURGH, PA
Past

November 13, 1986 - February 5, 2002

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

October 1, 1985 - September 12, 1986

TRI-STATE FINANCIAL PLANNING ASSOCIATES

BD
CRD#: 16165
Past

November 14, 1983 - June 28, 1985

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSPRING FUNDS MANAGEMENT, LLC
ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA
Registered Investment Advisory firm - (12/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/11/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 2/3/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/15/1988
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AF
ALLSPRING FUNDS MANAGEMENT, LLC
ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA
Registered Investment Advisory firm - (12/22/2000 Approved)
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Contact information

Main Address
1415 Vantage Park Drive 3rd Floor, Charlotte, NC 28203
Mailing Address
Phone number
(833) 568-4255
Established
Firm type
Fiscal year end
# of Employees
714

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFM MARCH 20, 2026 2A BROCHURE (3/20/2026)

Regulatory assets under management

Total Number of Accounts10,118
AUM (Assets Under Management)$ 324,654,889,545

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.

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

CRD#: 110841

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