Douglas Drozdowski
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.
Douglas Drozdowski, who also goes by Douglas H Drozdowski, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2001. Douglas had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - April 28, 2022
ALLSPRING FUNDS DISTRIBUTOR, LLC
April 13, 2017 - May 29, 2019
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
October 28, 2015 - April 10, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 27, 2014 - October 15, 2015
CITIZENS SECURITIES, INC.
March 24, 2011 - May 24, 2012
GW & WADE ASSET MANAGEMENT COMPANY, LLC
October 4, 2006 - March 11, 2011
JOHN HANCOCK DISTRIBUTORS LLC
July 8, 2002 - September 7, 2005
J.P. MORGAN SECURITIES INC.
August 28, 2001 - July 10, 2002
UBS SECURITIES LLC
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.
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