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Shannon L. Chapman

Some features on this profile are disabled
CRD#: 2963103
SC

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.

Shannon Lee Chapman, who also goes by Shannon Lee Chapman, Shannon Chapman, Shannon Lee Klett, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 1997. Shannon had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Lee Chapman | Shannon Chapman | Shannon Lee Klett

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.
Hatten Farms I, LLC and Hatten Farms II, LLC, it is not investment related, it is located in Hancock County IA, it is a farm, I am a partner in the LLC, started September 2n2016, I spend zero hours devoted to the business per month nor during securities trading hours. It is a farm that I receive passive income from a couple times a year when they sell grain.

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

March 14, 2022 - November 4, 2022

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Minnetonka, MN
Past

March 14, 2022 - November 4, 2022

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

August 20, 2019 - November 23, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
Minneapolis, MN
Past

August 20, 2019 - November 23, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 27, 2016 - June 3, 2019

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
MINNETONKA, MN
Past

April 5, 2005 - June 3, 2019

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
MINNEAPOLIS, MN
Past

January 14, 2005 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
SAN FRANCISCO, CA
Past

December 13, 2000 - April 1, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

June 25, 1999 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

December 24, 1997 - September 3, 1999

ARK FUNDS DISTRIBUTORS, LLC

BD
CRD#: 17685
PORTLAND, ME

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: 3/15/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/1998
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: 12/23/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/2/2005
General Securities Principal 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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