Danell Doty
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.
Danell Doty, who also goes by Danell Jo Doty, D J Wagner, Danell Jo Wagner, was a registered financial professional .
Danell is a previously registered financial professional and started their career in finance in 1988. Danell had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
September 5, 2018 - October 31, 2022
ALLSPRING FUNDS DISTRIBUTOR, LLC
August 10, 2012 - November 16, 2017
CHARLES SCHWAB & CO., INC.
February 24, 2009 - October 11, 2010
ASSETMARK, INC.
October 7, 2008 - December 14, 2009
CAPITAL BROKERAGE CORPORATION
September 4, 2008 - October 7, 2008
ASSETMARK, INC.
May 30, 2008 - October 7, 2008
CAPITAL BROKERAGE CORPORATION
February 13, 2002 - January 18, 2007
BLACKROCK FUND ADVISORS
November 15, 1999 - January 18, 2007
BLACKROCK EXECUTION SERVICES
November 15, 1991 - September 22, 1999
BERKELEY INTERNATIONAL SECURITIES CORPORATION
May 18, 1990 - June 28, 1991
GT GLOBAL, INC.
December 20, 1988 - January 17, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
