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RW

Robert F. Warchol

ALLSPRING FUNDS MANAGEMENT
Longmeadow, MA
Some features on this profile are disabled
CRD#: 2670403
RW

Professional summary

Robert F Warchol Jr, CIMA®, who also goes by Robert F Warchol, Robert Francis Warchol Jr, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Longmeadow, Massachusetts and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Naples, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Robert F Warchol | Robert Francis Warchol Jr

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 Robert F Warchol Jr'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

July 7, 2021 - Present

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Longmeadow, MA
Current

June 21, 2021 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
Naples, FL
Past

September 1, 2011 - November 30, 2020

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

May 30, 2002 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
CHICAGO, IL
Past

May 30, 2002 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
CHICAGO, IL
Past

March 26, 2002 - November 19, 2020

NUVEEN SECURITIES, LLC

BD
CRD#: 469
LONGMEADOW, MA
Past

January 24, 1996 - March 5, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA

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
Connecticut
(11/11/2021)
RR
Massachusetts
(6/21/2021)
IAR
Massachusetts
(7/7/2021)
RR
New York
(12/6/2023)
RR
Rhode Island
(6/21/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/25/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/1996
Uniform Securities Agent 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: 12/31/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/23/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/2010
General Securities 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)
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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#: 110841Longmeadow, MA

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