RA
Robert G. Absey
ALLSPRING FUNDS DISTRIBUTOR
New York, NY 10017
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CRD#: 1330861
RA
Professional summary
Robert George Absey, who also goes by Robert Absey, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert Absey
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert George Absey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 19, 2019 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 330 Madison Avenue 35th Floor, New York, NY 10017BD
CRD#: 133366
New York, NY
Past
June 10, 1998 - April 3, 2018
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
October 7, 1994 - March 4, 1998
SOUTH GROUP INVESTMENT SERVICES, INC.
BD
CRD#: 35843
GREENVILLE, SC
Past
September 17, 1993 - October 4, 1994
SIGNATURE BROKER-DEALER SERVICES, INC.
BD
CRD#: 24377
BOSTON, MA
Past
September 20, 1988 - April 28, 1989
EQUITEC SECURITIES COMPANY
BD
CRD#: 6463
OAKLAND, CA
Past
November 28, 1986 - June 1, 1988
SOUTHMARK CAPITAL RESOURCE
BD
CRD#: 8561
Past
September 24, 1985 - December 9, 1986
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/19/2019)
RR
Alaska(6/19/2019)
RR
Arizona(6/19/2019)
RR
Arkansas(6/19/2019)
RR
California(6/19/2019)
RR
Colorado(6/19/2019)
RR
Connecticut(6/19/2019)
RR
Delaware(6/19/2019)
RR
District of Columbia(6/19/2019)
RR
Florida(6/19/2019)
RR
Georgia(6/19/2019)
RR
Hawaii(6/19/2019)
RR
Idaho(6/19/2019)
RR
Illinois(6/19/2019)
RR
Indiana(6/19/2019)
RR
Iowa(6/19/2019)
RR
Kansas(6/19/2019)
RR
Kentucky(6/19/2019)
RR
Louisiana(6/19/2019)
RR
Maine(6/19/2019)
RR
Maryland(6/19/2019)
RR
Massachusetts(6/19/2019)
RR
Michigan(6/19/2019)
RR
Minnesota(6/19/2019)
RR
Mississippi(6/19/2019)
RR
Missouri(6/19/2019)
RR
Montana(6/19/2019)
RR
Nebraska(6/19/2019)
RR
Nevada(6/19/2019)
RR
New Hampshire(6/19/2019)
RR
New Jersey(6/19/2019)
RR
New Mexico(6/19/2019)
RR
New York(6/19/2019)
RR
North Carolina(6/19/2019)
RR
North Dakota(6/19/2019)
RR
Ohio(6/19/2019)
RR
Oklahoma(6/19/2019)
RR
Oregon(6/19/2019)
RR
Pennsylvania(6/19/2019)
RR
Puerto Rico(6/19/2019)
RR
Rhode Island(6/19/2019)
RR
South Carolina(6/19/2019)
RR
South Dakota(6/19/2019)
RR
Tennessee(6/19/2019)
RR
Texas(6/19/2019)
RR
Utah(6/19/2019)
RR
Vermont(6/19/2019)
RR
Virgin Islands(6/19/2019)
RR
Virginia(6/19/2019)
RR
Washington(6/19/2019)
RR
West Virginia(6/19/2019)
RR
Wisconsin(6/19/2019)
RR
Wyoming(6/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSPRING FUNDS DISTRIBUTOR, LLC
ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1415 Vantage Park Drive, Charlotte, NC 28203
Mailing Address
417 E Chicago Street, Milwaukee, WI 53052
Phone number
(888) 877-9275
Established
Delaware since 07/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
