Christopher J. Rohan

ALLSPRING FUNDS DISTRIBUTOR

Boston, MA 02210

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CRD#: 1944357

Professional summary

Christopher John Rohan, who also goes by Christopher J Rohan, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1989. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher J Rohan

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

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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

May 31, 2023 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210

CRD#: 133366

Boston, MA

Past

January 13, 2012 - May 23, 2023

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

January 21, 1998 - January 10, 2000

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

January 29, 1996 - January 21, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

November 13, 1993 - January 29, 1996

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

October 25, 1989 - August 18, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

IAR

Series 65

Date: 7/29/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSPRING FUNDS DISTRIBUTOR, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC

CRD#: 133366 / SEC#: , 8-66716

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)

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

Red Flags

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Advisor Monitoring

Firm Stability Insights

Christopher J. Rohan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher John Rohan's CRS (Customer Relationship Summary).

Certified licenses

Experience

EATON VANCE DISTRIBUTORS, INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/1994

Series 63

Date: 12/14/1990

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2012

Series 24

Date: 6/12/2014

FINRA

Current Firm

ALLSPRING FUNDS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSPRING FUNDS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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