Patrice Franco
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.
Patrice Franco, who also goes by Patrice G Franco, Patrice Geraldine Franco, Patrice Geraldine Franco Pasciotty, Patrice Pasciotty, was a registered financial professional .
Patrice is a previously registered financial professional and started their career in finance in 1988. Patrice had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2021 - January 31, 2024
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 10, 2016 - September 28, 2021
FRED ALGER & COMPANY, LLC
September 29, 2006 - May 27, 2016
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - May 27, 2016
BLACKROCK INVESTMENTS, LLC
October 3, 2003 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
March 17, 2003 - March 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2003 - September 29, 2006
FAM DISTRIBUTORS, INC.
November 23, 1988 - March 14, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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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