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SM

Steven J. Moen

ALLSPRING FUNDS DISTRIBUTOR
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 1557126
SM

Professional summary

Steven Jon Moen, who also goes by Steven J Moen, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Minneapolis, Minnesota.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1989. Steven has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven J Moen

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) - BD

Click below to view Steven Jon Moen'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®
None

Experience

Current

April 15, 2026 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 800 Lasalle Ave 14th Floor, Suite 1400, Minneapolis, MN 55402
BD
CRD#: 133366
Minneapolis, MN
Past

February 11, 2013 - October 17, 2019

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

September 13, 2012 - December 31, 2012

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST PAUL, MN
Past

April 5, 2011 - September 12, 2012

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
CHICAGO, IL
Past

April 15, 2008 - February 16, 2011

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
BLOOMINGTON, MN
Past

May 23, 1989 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 23, 1989 - October 23, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
RR
Series 63
Date: 6/9/1989
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: 5/20/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/17/2004
General Securities Principal Examination
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLCPARENT
GIBSON, LORI MITCHUMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER3070238
KENNEY, JOHN DUFFDIRECTOR2387755
MCKINLEY, KATHERINE SANDMANCHIEF LEGAL OFFICER6807581
MONINGER, JOHN KENNETHPRESIDENT/CHAIRMAN2494976
WILARY, CAROLYN ANNCHIEF COMPLIANCE OFFICER4220513

Disclosures

Regulatory Event1

Red Flags

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Company Information

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366Minneapolis, MN 55402

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