Daniel Smith
Professional Summary
Daniel Smith is a registered financial advisor currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Charlotte, North Carolina. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC
Contact Information
Main Address
1415 Vantage Park Drive, Charlotte, NC 28203Mailing Address
417 E Chicago Street, Milwaukee, WI 53052Phone Number
(888) 877-9275Established
Delaware since 07/09/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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
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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.
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State Registrations and Notice Filings
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/4/2010)
(1/21/2010)
(1/4/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/4/2010)
(1/4/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
(1/21/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Smith's CRS (Customer Relationship Summary).
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