Cara C. Magliocco

ALLSPRING FUNDS MANAGEMENT

Columbia, CT

Some features on this profile are disabled

CRD#: 4825029

Professional summary

Cara Corinne Magliocco, who also goes by Cara Corinne Magliocco, Cara Magliocco, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Columbia, Connecticut and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Blue Bell, Pennsylvania.

Cara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Cara has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cara Corinne Magliocco | Cara Magliocco

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) - RIA

Click below to view Cara Corinne Magliocco's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 20, 2017 - Present

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

Columbia, CT

Current

November 15, 2017 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

Blue Bell, PA

Past

March 23, 2012 - November 27, 2017

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

March 23, 2012 - November 27, 2017

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

August 19, 2009 - March 22, 2012

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

August 19, 2009 - March 22, 2012

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

HARTFORD, CT

Past

July 3, 2008 - August 20, 2009

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WINDSOR, CT

Past

July 3, 2008 - August 20, 2009

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

August 31, 2006 - June 27, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HARTFORD, CT

Past

July 29, 2005 - June 27, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HARTFORD, CT

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".

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.

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

Alabama
(11/15/2017)

Alaska
(11/15/2017)

Arizona
(11/15/2017)

Arkansas
(11/15/2017)

California
(11/15/2017)

Colorado
(11/15/2017)

Connecticut
(11/15/2017)

IAR

Connecticut
(11/5/2024)

Delaware
(11/15/2017)

District of Columbia
(11/15/2017)

Florida
(11/15/2017)

Georgia
(11/15/2017)

Hawaii
(11/15/2017)

Idaho
(11/15/2017)

Illinois
(11/15/2017)

Indiana
(11/15/2017)

Iowa
(11/15/2017)

Kansas
(11/15/2017)

Kentucky
(11/15/2017)

Louisiana
(11/15/2017)

Maine
(11/15/2017)

Maryland
(11/15/2017)

Massachusetts
(11/20/2017)

Michigan
(11/15/2017)

Minnesota
(11/15/2017)

Mississippi
(11/15/2017)

Missouri
(11/15/2017)

Montana
(11/15/2017)

Nebraska
(11/15/2017)

Nevada
(11/15/2017)

New Hampshire
(11/15/2017)

New Jersey
(11/15/2017)

New Mexico
(11/15/2017)

New York
(11/15/2017)

North Carolina
(11/15/2017)

North Dakota
(11/15/2017)

Ohio
(11/15/2017)

Oklahoma
(11/15/2017)

Oregon
(11/15/2017)

Pennsylvania
(11/15/2017)

Puerto Rico
(11/15/2017)

Rhode Island
(11/15/2017)

South Carolina
(11/15/2017)

South Dakota
(11/15/2017)

Tennessee
(11/15/2017)

Texas
(11/15/2017)

Utah
(11/15/2017)

Vermont
(11/15/2017)

Virgin Islands
(11/15/2017)

Virginia
(11/15/2017)

Washington
(11/15/2017)

West Virginia
(11/15/2017)

Wisconsin
(11/15/2017)

Wyoming
(11/15/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/5/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/28/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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 Accounts	12,065
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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cara C. Magliocco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cara Corinne Magliocco's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2006

Series 63

Date: 8/26/2005

SIE

Date: 10/1/2018

Series 31

Date: 10/5/2006

Series 7

Date: 7/28/2005

FINRA

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors