Robert J. Carbone

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CRD#: 5024428

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.

Robert Joseph Carbone, who also goes by Rj Carbone, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2005. Robert had worked at 4 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rj Carbone

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

January 30, 2017 - December 10, 2019

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

Boston, MA

Past

April 8, 2013 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

BOSTON, MA

Past

May 1, 2012 - December 10, 2019

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

BOSTON, MA

Past

February 6, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS ANGELES, CA

Past

February 6, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 28, 2005 - May 25, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TORRANCE, CA

Past

October 10, 2005 - May 25, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/18/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/27/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/2012

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 11/14/2005

Futures Managed Funds Examination

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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Carbone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2013

Series 63

Date: 5/18/2012

Series 66

Date: 10/27/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/30/2012

Series 31

Date: 11/14/2005

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

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