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KG

Kimberly A. Gordon

Some features on this profile are disabled
CRD#: 2366702
KG

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.

Kimberly Antico Gordon, who also goes by Kimberly Ann Antico, Kimberly Antico Gordon, Kimberly Ann Gordon, Kimberly Antico Gordon, Kimberly Gordon, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 1998. Kimberly had worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Ann Antico | Kimberly Antico Gordon | Kimberly Ann Gordon | Kimberly Antico Gordon | Kimberly Gordon

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.
LACHAT FARM POSITION: Yoga Teacher NATURE: Yoga Instructor for Yoga Mediation Classes INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/04/2021 ADDRESS: 108 Godfrey Road, Weston CT 06883, United States DESCRIPTION: Yoga instructor

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 22, 2021 - January 31, 2024

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Boston, MA
Past

April 22, 2021 - January 31, 2024

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
BOSTON, MA
Past

April 3, 2014 - May 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
STAMFORD, CT
Past

April 3, 2014 - May 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
STAMFORD, CT
Past

June 13, 2011 - March 24, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
STAMFORD, CT
Past

June 13, 2011 - March 24, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
STAMFORD, CT
Past

May 3, 2010 - May 27, 2011

WESTPORT CAPITAL MARKETS, LLC

RIA
CRD#: 41562
WESTPORT, CT
Past

April 30, 2010 - May 27, 2011

WESTPORT CAPITAL MARKETS, LLC

BD
CRD#: 41562
WESTPORT, CT
Past

June 1, 2009 - June 2, 2010

MORGAN STANLEY

RIA
CRD#: 149777
GREENWICH, CT
Past

June 1, 2009 - June 2, 2010

MORGAN STANLEY

BD
CRD#: 149777
GREENWICH, CT
Past

July 31, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
GREENWICH, CT
Past

August 31, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
GREENWICH, CT
Past

February 8, 1999 - February 14, 2000

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

March 11, 1998 - September 2, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2007
General Securities Representative Examination

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)
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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#: 110841

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