NK
Noah A. Kroll
ALLSPRING FUNDS MANAGEMENT
Fair Haven, NJ
Some features on this profile are disabled
CRD#: 3093072
NK
Professional summary
Noah Alexander Kroll, CIMA®, who also goes by Noah Kroll, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Fair Haven, New Jersey and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Glen Ellyn, Illinois.
Noah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Noah has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Noah Kroll
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.
GN Management, LLC- investment related as it holds real estate rental properties 112 Church Street, Fair Haven NJ 07704 I am a Registered Agent June 17, 2020 <30 minutes per month, none during securities trading hours I am a partial owner of the real estate properties SN Capital, LLC- investment related as it holds real estate rental properties 112 Church Street, Fair Haven NJ 07704 I am a Registered Agent Start date - July 1, 2021 <30 minutes per month, none during securities trading hours I am a partial owner of the real estate properties
CRS (Client Relationship Summary) - RIA
Click below to view Noah Alexander Kroll'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®
Experience
Current
November 1, 2022 - Present
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
Fair Haven, NJ
Current
November 1, 2022 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
Glen Ellyn, IL
Past
December 3, 2010 - October 21, 2022
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
November 10, 2010 - October 21, 2022
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
April 23, 2002 - January 6, 2005
WATERMARK SECURITIES, INC.
BD
CRD#: 28683
NEW YORK, NY
Past
February 18, 1999 - April 16, 2002
KNIGHT CAPITAL MARKETS LLC
BD
CRD#: 38379
PURCHASE, NY
Past
October 12, 1998 - January 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alabama(11/1/2022)
RR
Alaska(11/1/2022)
RR
Arizona(11/1/2022)
RR
Arkansas(11/1/2022)
RR
California(11/1/2022)
RR
Colorado(11/1/2022)
RR
Connecticut(11/1/2022)
RR
Delaware(11/1/2022)
RR
District of Columbia(11/1/2022)
RR
Florida(11/1/2022)
RR
Georgia(11/1/2022)
RR
Hawaii(11/1/2022)
RR
Idaho(11/1/2022)
RR
Illinois(11/1/2022)
RR
Indiana(11/1/2022)
RR
Iowa(11/1/2022)
RR
Kansas(11/1/2022)
RR
Kentucky(11/1/2022)
RR
Louisiana(11/1/2022)
RR
Maine(11/1/2022)
RR
Maryland(11/1/2022)
RR
Massachusetts(11/1/2022)
RR
Michigan(11/1/2022)
RR
Minnesota(11/1/2022)
RR
Mississippi(11/1/2022)
RR
Missouri(11/1/2022)
RR
Montana(11/1/2022)
RR
Nebraska(11/1/2022)
RR
Nevada(11/1/2022)
RR
New Hampshire(11/1/2022)
RR
New Jersey(11/1/2022)
IAR
New Jersey(11/3/2022)
RR
New Mexico(11/1/2022)
RR
New York(11/1/2022)
RR
North Carolina(11/1/2022)
RR
North Dakota(11/1/2022)
RR
Ohio(11/1/2022)
RR
Oklahoma(11/1/2022)
RR
Oregon(11/1/2022)
RR
Pennsylvania(11/1/2022)
RR
Puerto Rico(11/1/2022)
RR
Rhode Island(11/1/2022)
RR
South Carolina(11/1/2022)
RR
South Dakota(11/1/2022)
RR
Tennessee(11/1/2022)
RR
Texas(11/1/2022)
RR
Utah(11/1/2022)
RR
Vermont(11/1/2022)
RR
Virgin Islands(11/1/2022)
RR
Virginia(11/1/2022)
RR
Washington(11/1/2022)
RR
West Virginia(11/1/2022)
RR
Wisconsin(11/1/2022)
RR
Wyoming(11/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/9/1999
Limited Representative-Equity Trader ExamSRO 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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
