James P. Reichard
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.
James Paul Reichard, CIMA®, who also goes by Jim Reichard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2012 - May 3, 2013
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 4, 2004 - August 8, 2011
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
June 25, 2002 - January 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - January 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - June 25, 2002
WACHOVIA SECURITIES, INC.
October 1, 1999 - June 15, 2002
WACHOVIA SECURITIES, INC.
June 29, 1999 - October 6, 1999
WACHOVIA BROKERAGE SERVICE
February 1, 1995 - October 1, 1997
WACHOVIA BROKERAGE SERVICE
November 1, 1988 - February 25, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 1, 1988 - February 25, 1993
PRUCO SECURITIES, LLC.
August 20, 1987 - October 24, 1988
HILLTOP SECURITIES INC.
April 23, 1985 - January 30, 1987
PRUCO SECURITIES, LLC.
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: 7/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
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