Robert C. Gain

ALLSPRING FUNDS DISTRIBUTOR

San Francisco, CA 94105

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CRD#: 2522298

Professional summary

Robert Coldham Gain Jr, who also goes by Bob Gain, Robert Coldham Gain Jr, Robert Gain, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in San Francisco, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Gain | Robert Coldham Gain Jr | Robert Gain

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

Click below to view Robert Coldham Gain Jr's 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

May 23, 2017 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 525 Market Street 12th Floor, San Francisco, CA 94105

CRD#: 133366

San Francisco, CA

Past

October 19, 2012 - August 17, 2016

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

April 24, 2009 - November 14, 2012

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

Past

September 21, 1994 - September 27, 1995

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

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

California
(5/23/2017)

Colorado
(1/14/2025)

Massachusetts
(5/23/2017)

North Carolina
(5/24/2017)

Wisconsin
(5/23/2017)

Exams

State Security Law Exam

Series 63

Date: 8/10/2009

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: 4/23/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/2015

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Robert C. Gain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Coldham Gain Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

BLACKROCK EXECUTION SERVICES

WELLS FARGO SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/2009

SIE

Date: 10/1/2018

Series 7

Date: 4/23/2009

Series 6

Date: 9/20/1994

Series 24

Date: 9/29/2015

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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