AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TF

Thomas P. Flynn

ALLSPRING FUNDS MANAGEMENT
Monroe, NC
Some features on this profile are disabled
CRD#: 2096411
TF

Professional summary

Thomas Patrick Flynn, who also goes by Thomas P Flynn, Thomas Flynn, Tom Flynn, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Monroe, North Carolina and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Charlotte, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 12 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas P Flynn | Thomas Flynn | Tom Flynn

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) - RIA

Click below to view Thomas Patrick Flynn's CRS (Customer Relationship Summary).
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

March 9, 2023 - Present

ALLSPRING FUNDS MANAGEMENT, LLC

Office #2: 1415 Vantage Park Drive, Charlotte, NC 28203
RIA
CRD#: 110841
Monroe, NC
Current

March 9, 2023 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 1415 Vantage Park Drive, Charlotte, NC 28203
BD
CRD#: 133366
Charlotte, NC
Past

October 12, 2022 - March 9, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Charlotte, NC
Past

October 12, 2022 - March 9, 2023

MORGAN STANLEY

BD
CRD#: 149777
Charlotte, NC
Past

July 24, 2019 - September 30, 2022

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Charlotte, NC
Past

July 24, 2019 - September 30, 2022

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

February 9, 2018 - July 24, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
Charlotte, NC
Past

February 8, 2018 - July 24, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 19, 2015 - December 22, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

May 19, 2015 - December 22, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 11, 2015 - May 26, 2015

SAXONY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 122692
ST. LOUIS, MO
Past

March 5, 2014 - May 26, 2015

SAXONY SECURITIES, INC.

BD
CRD#: 115547
ST. LOUIS, MO
Past

August 3, 2012 - February 24, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
TROY, MI
Past

February 6, 2002 - July 12, 2012

AMERICAN FAMILY SECURITIES, LLC

BD
CRD#: 104433
MADISON, WI
Past

January 2, 2001 - December 31, 2001

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

July 27, 1999 - December 8, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

February 22, 1994 - July 16, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

February 22, 1994 - July 16, 1999

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSPRING FUNDS MANAGEMENT, LLC
ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA
Registered Investment Advisory firm - (12/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(3/9/2023)
IAR
North Carolina
(3/9/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/3/1999
Uniform Combined 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: 7/10/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/18/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/10/1994
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSPRING FUNDS MANAGEMENT, LLC
ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA
Registered Investment Advisory firm - (12/22/2000 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1415 Vantage Park Drive 3rd Floor, Charlotte, NC 28203
Mailing Address
Phone number
(833) 568-4255
Established
Firm type
Fiscal year end
# of Employees
519

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFM MARCH 24, 2025 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts12,065
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.

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

CRD#: 110841Monroe, NC

TRUST BUT VERIFY

Monitor Thomas Flynn

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.