Lia Lundgren
Professional summary
Lia Lundgren, who also goes by Lia Louisa Lundgren, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Blue Bell, Pennsylvania.
Lia is registered as a RR (Registered Representative) and started their career in finance in 1987. Lia has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lia Lundgren's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2019 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
January 16, 2018 - December 4, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 10, 2007 - December 21, 2016
BNY MELLON SECURITIES CORPORATION
September 1, 2005 - April 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 22, 2004 - November 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2002 - September 26, 2003
AMUNDI DISTRIBUTOR US, INC.
July 7, 1998 - September 3, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 30, 1995 - January 20, 1998
WELLS FARGO SECURITIES INC.
November 17, 1987 - February 27, 1991
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
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.
