AB
Abigail J. Becker
ALLSPRING FUNDS DISTRIBUTOR
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 5476011
AB
Professional summary
Abigail Jane Becker, who also goes by Abigail Becker, Abby Jane Filo, Abigail Jane Filo, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Milwaukee, Wisconsin.
Abigail is registered as a RR (Registered Representative) and started their career in finance in 2008. Abigail has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Abigail Becker | Abby Jane Filo | Abigail Jane Filo
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.
CRS (Client Relationship Summary) - BD
Click below to view Abigail Jane Becker'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®
NoneExperience
Current
July 23, 2019 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 417 E Chicago Street, Milwaukee, WI 53202BD
CRD#: 133366
Milwaukee, WI
Past
February 20, 2008 - December 31, 2018
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
MENOMONEE FALLS, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/23/2019)
RR
Alaska(7/23/2019)
RR
Arizona(7/23/2019)
RR
Arkansas(7/23/2019)
RR
California(7/23/2019)
RR
Colorado(7/23/2019)
RR
Connecticut(7/23/2019)
RR
Delaware(7/23/2019)
RR
District of Columbia(7/23/2019)
RR
Florida(7/23/2019)
RR
Georgia(7/23/2019)
RR
Hawaii(7/23/2019)
RR
Idaho(7/23/2019)
RR
Illinois(7/23/2019)
RR
Indiana(7/23/2019)
RR
Iowa(7/23/2019)
RR
Kansas(7/23/2019)
RR
Kentucky(7/23/2019)
RR
Louisiana(7/23/2019)
RR
Maine(7/23/2019)
RR
Maryland(7/23/2019)
RR
Massachusetts(7/23/2019)
RR
Michigan(7/23/2019)
RR
Minnesota(7/23/2019)
RR
Mississippi(7/23/2019)
RR
Missouri(7/23/2019)
RR
Montana(7/23/2019)
RR
Nebraska(7/23/2019)
RR
Nevada(7/23/2019)
RR
New Hampshire(7/23/2019)
RR
New Jersey(7/23/2019)
RR
New Mexico(7/23/2019)
RR
New York(7/23/2019)
RR
North Carolina(7/23/2019)
RR
North Dakota(7/23/2019)
RR
Ohio(7/24/2019)
RR
Oklahoma(7/23/2019)
RR
Oregon(7/23/2019)
RR
Pennsylvania(7/23/2019)
RR
Puerto Rico(7/23/2019)
RR
Rhode Island(7/23/2019)
RR
South Carolina(7/23/2019)
RR
South Dakota(7/23/2019)
RR
Tennessee(7/23/2019)
RR
Texas(7/23/2019)
RR
Utah(7/23/2019)
RR
Vermont(7/23/2019)
RR
Virgin Islands(7/23/2019)
RR
Virginia(7/23/2019)
RR
Washington(7/23/2019)
RR
West Virginia(7/23/2019)
RR
Wisconsin(7/23/2019)
RR
Wyoming(7/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSPRING FUNDS DISTRIBUTOR, LLC
ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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, 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 | 1 |
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 DISTRIBUTOR, LLC
CRD#: 133366Milwaukee, WI 53202TRUST BUT VERIFY
Monitor Abigail Becker
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
