Tammy L. Leong

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CRD#: 2451858

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.

Tammy Lynn Leong, who also goes by Tammy Lynn Ritter, was a registered financial professional .

Tammy is a previously registered financial professional and started their career in finance in 1994. Tammy had worked at 6 firms and has passed the Series 63, Series 7, Series 6, Series 53, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tammy Lynn Ritter

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)

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 5, 2005 - September 12, 2013

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN FRANCISCO, CA

Past

April 5, 2005 - September 12, 2013

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

SAN FRANCISCO, CA

Past

May 1, 2002 - April 1, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

July 24, 2000 - April 1, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

April 2, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

March 19, 1998 - April 2, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

May 6, 1996 - December 11, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

March 7, 1994 - March 13, 1998

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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".

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/4/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/25/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/29/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/20/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/1996

General Securities Principal Examination

Current Firm

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)

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 Accounts	12,065
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.

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Tammy L. Leong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

CITICORP INVESTMENT SERVICES

FIRST INTERSTATE INVESTMENTS,INC.

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/27/1994

Series 7

Date: 10/25/1994

Series 6

Date: 3/4/1994

Series 53

Date: 1/25/2008

Series 10

Date: 4/29/2002

Series 9

Date: 8/20/2001

Series 24

Date: 9/30/1996

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

TRUST BUT VERIFY

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