Rosaida Yeng Butler
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.
Rosaida Yeng Butler, who also goes by Rosaida Yeng Felipe Butler, Rosaidayeng Butler, Rosaida M Felipe, Rosaida Mapoy Felipe, Yeng Felipe, Rosaida Mapoy Felipe-cho, Rosaida Yeng Felipe-cho, Yeng Felipe-cho, was a registered financial professional .
Rosaida Yeng is a previously registered financial professional and started their career in finance in 1996. Rosaida Yeng had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2019 - April 28, 2023
ALLSPRING FUNDS DISTRIBUTOR, LLC
October 5, 2010 - September 3, 2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 16, 2008 - September 8, 2010
STATE FARM VP MANAGEMENT CORP.
April 2, 1998 - March 29, 2004
FAM DISTRIBUTORS, INC.
October 9, 1996 - October 13, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
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.
