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NK

Noah King

Some features on this profile are disabled
CRD#: 4614825
NK

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.

Noah King, who also goes by Noah O King, Noah Ogami King, was a registered financial professional .

Noah is a previously registered financial professional and started their career in finance in 2003. Noah had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Noah O King | Noah Ogami King

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.

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

June 1, 2018 - January 31, 2024

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
San Francisco, CA
Past

June 1, 2018 - January 31, 2024

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
SAN FRANCISCO, CA
Past

January 3, 2012 - November 7, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

July 20, 2010 - November 7, 2017

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

July 15, 2010 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

BD
CRD#: 146183
SAN FRANCISCO, CA
Past

July 21, 2009 - July 21, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JERSEY CITY, NJ
Past

July 16, 2009 - July 21, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 19, 2008 - May 13, 2009

OSAIC FA, INC.

RIA
CRD#: 3978
NEW YORK, NY
Past

September 19, 2008 - May 13, 2009

OSAIC FA, INC.

BD
CRD#: 3978
NEW YORK, NY
Past

January 24, 2003 - May 29, 2008

OSAIC FA, INC.

RIA
CRD#: 3978
NEW YORK, NY
Past

January 3, 2003 - May 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

January 3, 2003 - May 29, 2008

OSAIC FA, INC.

BD
CRD#: 3978
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: 1/13/2003
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: 1/2/2003
General Securities Representative 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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