Wayne A. Rose
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.
Wayne Anthony Rose was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2005. Wayne had worked at 15 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2015 - December 8, 2015
ALLSPRING FUNDS DISTRIBUTOR, LLC
September 10, 2010 - September 2, 2014
BLACKROCK INVESTMENTS, LLC
January 13, 2009 - July 7, 2009
NORTHERN FUNDS DISTRIBUTORS, LLC
July 17, 2008 - July 8, 2009
FORESIDE ASSOCIATES, LLC
February 22, 2008 - July 7, 2009
PROFUNDS DISTRIBUTORS, INC.
September 26, 2006 - October 1, 2007
HEARTLAND INVESTOR SERVICES, LLC
September 26, 2006 - December 4, 2007
VICTORY CAPITAL SERVICES, INC.
September 26, 2006 - July 7, 2009
IMST DISTRIBUTORS, LLC
September 11, 2006 - July 16, 2007
BFD DISTRIBUTOR, INC.
September 11, 2006 - September 10, 2007
FTFD FUND DISTRIBUTOR, INC.
September 11, 2006 - November 29, 2007
CITI DISTRIBUTION SERVICES, INC.
September 11, 2006 - January 25, 2008
PROFUNDS DISTRIBUTORS, INC.
September 11, 2006 - July 7, 2009
FORESIDE INVESTMENT SERVICES, LLC
September 11, 2006 - July 7, 2009
FUNDS DISTRIBUTOR, LLC
September 11, 2006 - July 7, 2009
BD COMPLIANCE SOLUTIONS, LLC
September 13, 2005 - July 7, 2009
FORESIDE DISTRIBUTION SERVICES, L.P.
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.
