Michael L. Warren
Professional summary
Michael Linzie Warren, who also goes by Michael Warren, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in San Francisco, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Linzie Warren's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2018 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 525 Market Street 12th Floor, San Francisco, CA 94105November 30, 2015 - November 9, 2017
DEUTSCHE BANK SECURITIES INC.
August 5, 2005 - August 5, 2015
GOLDMAN SACHS & CO. LLC
January 22, 2003 - July 26, 2005
GOLDMAN SACHS & CO. LLC
November 28, 1997 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
July 27, 1994 - September 1, 1998
SALOMON BROTHERS INC.
August 6, 1993 - July 1, 1994
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 55
Date: 11/6/2006
Limited Representative-Equity Trader ExamFINRA
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
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