Richard B. Carr

ALLSPRING FUNDS DISTRIBUTOR

Brooklyn, NY

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CRD#: 5173204

Professional summary

Richard B Carr is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Brooklyn, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 14 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Richard B Carr's 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

May 19, 2026 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

Brooklyn, NY

Past

January 2, 2025 - September 19, 2025

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

August 7, 2024 - November 15, 2024

PARALEL DISTRIBUTORS

CRD#: 316115

DENVER, CO

Past

January 20, 2023 - January 22, 2024

FLEXIBLE PLAN INVESTMENTS LTD

RIA

CRD#: 110762

BLOOMFIELD HILLS, MI

Past

September 26, 2022 - January 19, 2024

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

August 12, 2021 - April 8, 2022

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

March 13, 2019 - June 30, 2021

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

August 12, 2013 - December 26, 2018

LBMZ SECURITIES, INC.

CRD#: 7874

CHICAGO, IL

Past

August 7, 2013 - April 30, 2019

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

July 17, 2013 - August 5, 2013

KEELEY INVESTMENT CORP.

CRD#: 7346

CHICAGO, IL

Past

October 19, 2010 - June 11, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

June 22, 2009 - September 16, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

NEW LENOX, IL

Past

June 17, 2009 - September 16, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW LENOX, IL

Past

October 30, 2006 - February 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCHAUMBURG, IL

Past

September 29, 2006 - February 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCHAUMBURG, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(5/19/2026)

Alaska
(5/21/2026)

California
(5/19/2026)

Connecticut
(5/20/2026)

Delaware
(5/20/2026)

District of Columbia
(5/20/2026)

Florida
(5/20/2026)

Georgia
(5/20/2026)

Hawaii
(5/20/2026)

Idaho
(5/20/2026)

Illinois
(5/20/2026)

Indiana
(5/20/2026)

Iowa
(5/20/2026)

Kansas
(5/21/2026)

Louisiana
(5/19/2026)

Maine
(5/19/2026)

Maryland
(5/20/2026)

Massachusetts
(5/20/2026)

Michigan
(5/21/2026)

Minnesota
(5/20/2026)

Nebraska
(5/19/2026)

Nevada
(5/19/2026)

New Hampshire
(5/21/2026)

New Jersey
(5/20/2026)

New Mexico
(5/20/2026)

New York
(5/21/2026)

North Carolina
(5/20/2026)

Ohio
(5/20/2026)

Oklahoma
(5/20/2026)

Pennsylvania
(5/20/2026)

Rhode Island
(5/20/2026)

South Dakota
(5/20/2026)

Tennessee
(5/20/2026)

Texas
(5/20/2026)

Utah
(5/20/2026)

Vermont
(5/20/2026)

Virginia
(5/20/2026)

Washington
(5/20/2026)

West Virginia
(5/20/2026)

Wisconsin
(5/21/2026)

Wyoming
(5/20/2026)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/27/2006

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: 9/28/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSPRING FUNDS DISTRIBUTOR, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC

CRD#: 133366 / SEC#: , 8-66716

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1415 Vantage Park Drive, Charlotte, NC 28203

Mailing Address

417 E Chicago Street, Milwaukee, WI 53052

Phone number

(888) 877-9275

Established

Delaware since 07/09/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

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

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

Richard B. Carr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard B Carr's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

PARALEL DISTRIBUTORS

FLEXIBLE PLAN INVESTMENTS LTD

CEROS FINANCIAL SERVICES, INC.

IMST DISTRIBUTORS, LLC

PROFUNDS DISTRIBUTORS, INC.

LBMZ SECURITIES, INC.

ZACKS INVESTMENT MANAGEMENT, INC.

KEELEY INVESTMENT CORP.

DWS DISTRIBUTORS, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2006

FINRA

Current Firm

ALLSPRING FUNDS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSPRING FUNDS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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