Susan M. Frodl
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.
Susan Margaret Frodl, who also goes by Susan Mattson, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1989. Susan had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 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 6, 2006 - December 31, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
April 11, 2005 - September 2, 2016
ALLSPRING FUNDS DISTRIBUTOR, LLC
April 7, 1989 - April 11, 2005
STRONG INVESTMENTS, INC.
Primary Firm SEC Registration
ALLSPRING FUNDS MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
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 MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,065 |
| AUM (Assets Under Management) | $ 318,037,012,784 |
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.
