KC
Kristin L. Carcio
ALLSPRING FUNDS MANAGEMENT
Cohasset, MA
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CRD#: 3254129
KC
Professional summary
Kristin Lee Carcio, who also goes by Kristin Lee Brothers, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Cohasset, Massachusetts and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Kristin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Lee Brothers
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Lee Carcio'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®
NoneExperience
Current
November 3, 2023 - Present
ALLSPRING FUNDS MANAGEMENT, LLC
Office #2: 101 Seaport Blvd 11th Floor, Boston, MA 02210RIA
CRD#: 110841
Cohasset, MA
Current
October 24, 2023 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210BD
CRD#: 133366
Boston, MA
Past
November 24, 2015 - October 20, 2023
EATON VANCE MANAGEMENT
RIA
CRD#: 104859
BOSTON, MA
Past
October 29, 2015 - October 20, 2023
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
June 17, 2014 - September 25, 2015
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
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
Alabama(10/24/2023)
RR
Alaska(10/24/2023)
RR
Arizona(10/24/2023)
RR
Arkansas(10/24/2023)
RR
California(10/24/2023)
RR
Colorado(10/24/2023)
RR
Connecticut(10/24/2023)
RR
Delaware(10/24/2023)
RR
District of Columbia(10/24/2023)
RR
Florida(10/24/2023)
RR
Georgia(10/24/2023)
RR
Hawaii(10/24/2023)
RR
Idaho(10/24/2023)
RR
Illinois(10/24/2023)
RR
Indiana(10/24/2023)
RR
Iowa(10/24/2023)
RR
Kansas(10/24/2023)
RR
Kentucky(10/24/2023)
RR
Louisiana(10/24/2023)
RR
Maine(10/24/2023)
RR
Maryland(10/24/2023)
RR
Massachusetts(10/24/2023)
IAR
Massachusetts(11/3/2023)
RR
Michigan(10/24/2023)
RR
Minnesota(10/24/2023)
RR
Mississippi(10/24/2023)
RR
Missouri(10/24/2023)
RR
Montana(10/24/2023)
RR
Nebraska(10/24/2023)
RR
Nevada(10/24/2023)
RR
New Hampshire(10/24/2023)
RR
New Jersey(10/24/2023)
RR
New Mexico(10/24/2023)
RR
New York(10/24/2023)
RR
North Carolina(10/24/2023)
RR
North Dakota(10/24/2023)
RR
Ohio(10/24/2023)
RR
Oklahoma(10/24/2023)
RR
Oregon(10/24/2023)
RR
Pennsylvania(10/24/2023)
RR
Puerto Rico(10/24/2023)
RR
Rhode Island(10/24/2023)
RR
South Carolina(10/24/2023)
RR
South Dakota(10/24/2023)
RR
Tennessee(10/24/2023)
RR
Texas(10/24/2023)
RR
Utah(10/24/2023)
RR
Vermont(10/24/2023)
RR
Virgin Islands(10/24/2023)
RR
Virginia(10/24/2023)
RR
Washington(10/24/2023)
RR
West Virginia(10/24/2023)
RR
Wisconsin(10/24/2023)
RR
Wyoming(10/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)PREMIUM
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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
714
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,118 |
| AUM (Assets Under Management) | $ 324,654,889,545 |
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.
