RH
Richard Hartley
ALLSPRING FUNDS DISTRIBUTOR
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 5497172
RH
Professional summary
Richard Hartley, who also goes by Richard Thomas Hartley, Rick Hartley, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Charlotte, North Carolina.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2008. Richard has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Thomas Hartley | Rick Hartley
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 Richard Hartley'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
June 3, 2020 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 1415 Vantage Park Drive, Charlotte, NC 28203BD
CRD#: 133366
Charlotte, NC
Past
April 2, 2008 - May 20, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
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(6/23/2020)
RR
Alaska(6/23/2020)
RR
Arizona(6/23/2020)
RR
Arkansas(6/23/2020)
RR
California(6/23/2020)
RR
Colorado(6/23/2020)
RR
Connecticut(6/23/2020)
RR
Delaware(6/23/2020)
RR
District of Columbia(6/23/2020)
RR
Florida(6/23/2020)
RR
Georgia(6/23/2020)
RR
Hawaii(6/23/2020)
RR
Idaho(6/23/2020)
RR
Illinois(6/23/2020)
RR
Indiana(6/23/2020)
RR
Iowa(6/23/2020)
RR
Kansas(6/23/2020)
RR
Kentucky(6/23/2020)
RR
Louisiana(6/23/2020)
RR
Maine(6/23/2020)
RR
Maryland(6/23/2020)
RR
Massachusetts(6/23/2020)
RR
Michigan(6/23/2020)
RR
Minnesota(6/23/2020)
RR
Mississippi(6/23/2020)
RR
Missouri(6/23/2020)
RR
Montana(6/23/2020)
RR
Nebraska(6/23/2020)
RR
Nevada(6/23/2020)
RR
New Hampshire(6/23/2020)
RR
New Jersey(6/23/2020)
RR
New Mexico(6/23/2020)
RR
New York(6/23/2020)
RR
North Carolina(6/23/2020)
RR
North Dakota(6/23/2020)
RR
Ohio(6/23/2020)
RR
Oklahoma(6/23/2020)
RR
Oregon(6/23/2020)
RR
Pennsylvania(6/23/2020)
RR
Puerto Rico(6/23/2020)
RR
Rhode Island(6/23/2020)
RR
South Carolina(6/23/2020)
RR
South Dakota(6/23/2020)
RR
Tennessee(6/23/2020)
RR
Texas(6/23/2020)
RR
Utah(6/23/2020)
RR
Vermont(6/23/2020)
RR
Virgin Islands(6/23/2020)
RR
Virginia(6/23/2020)
RR
Washington(6/23/2020)
RR
West Virginia(6/23/2020)
RR
Wisconsin(6/23/2020)
RR
Wyoming(6/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/3/2020
General Securities Representative ExaminationGeneral 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)
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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 | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
