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CC

Carmelo Carrozza

Some features on this profile are disabled
CRD#: 4438146
CC

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.

Carmelo Carrozza, who also goes by Carmel Carrozza, Carmelo Joseph Carrozza Jr, Mel Carrozza, was a registered financial professional .

Carmelo is a previously registered financial professional and started their career in finance in 2001. Carmelo had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carmel Carrozza | Carmelo Joseph Carrozza Jr | Mel Carrozza

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.
PRODUCER/GUITARIST/SINGER; NOT INVESTMENT RELATED; BEGAN 8/2010; 4-20 HOURS PER MONTH; NO TIME DEVOTED DURING NORMAL SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 18, 2022 - August 8, 2024

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Wilton, CT
Past

April 18, 2022 - August 8, 2024

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
Wilton, CT
Past

August 18, 2010 - October 12, 2020

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

August 18, 2010 - October 12, 2020

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

June 1, 2009 - August 16, 2010

MORGAN STANLEY

RIA
CRD#: 149777
STAMFORD, CT
Past

June 1, 2009 - August 16, 2010

MORGAN STANLEY

BD
CRD#: 149777
STAMFORD, CT
Past

April 23, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
STAMFORD, CT
Past

April 1, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
STAMFORD, CT
Past

August 6, 2001 - August 24, 2001

BOCKLET & COMPANY, LLC

BD
CRD#: 45455
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/18/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/2015
General Securities Principal Examination

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)
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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
519

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFM MARCH 24, 2025 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts12,065
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.

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

CRD#: 110841

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