TO
Thomas F. O'connell
ALLSPRING FUNDS DISTRIBUTOR
Boston, MA 02210
Some features on this profile are disabled
CRD#: 5562725
TO
Professional summary
Thomas Francis O'connell IV, who also goes by Thomas Francis O'connell, Thomas F O'connell IV, Thomas Francis Oconnell, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Francis O'connell | Thomas F O'connell Iv | Thomas Francis Oconnell
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 Thomas Francis O'connell IV'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
February 12, 2016 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210BD
CRD#: 133366
Boston, MA
Past
August 29, 2014 - January 5, 2016
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
January 23, 2014 - June 9, 2014
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
July 14, 2008 - January 14, 2014
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
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(2/12/2016)
RR
Alaska(2/12/2016)
RR
Arizona(2/12/2016)
RR
Arkansas(2/12/2016)
RR
California(2/12/2016)
RR
Colorado(2/12/2016)
RR
Connecticut(2/12/2016)
RR
Delaware(2/12/2016)
RR
District of Columbia(2/12/2016)
RR
Florida(2/12/2016)
RR
Georgia(2/12/2016)
RR
Hawaii(2/12/2016)
RR
Idaho(2/12/2016)
RR
Illinois(2/12/2016)
RR
Indiana(2/12/2016)
RR
Iowa(2/12/2016)
RR
Kansas(2/12/2016)
RR
Kentucky(2/12/2016)
RR
Louisiana(2/12/2016)
RR
Maine(2/12/2016)
RR
Maryland(2/12/2016)
RR
Massachusetts(2/12/2016)
RR
Michigan(2/12/2016)
RR
Minnesota(2/12/2016)
RR
Mississippi(2/12/2016)
RR
Missouri(2/12/2016)
RR
Montana(2/12/2016)
RR
Nebraska(2/12/2016)
RR
Nevada(2/12/2016)
RR
New Hampshire(2/12/2016)
RR
New Jersey(2/12/2016)
RR
New Mexico(2/12/2016)
RR
New York(2/12/2016)
RR
North Carolina(2/15/2016)
RR
North Dakota(2/12/2016)
RR
Ohio(2/16/2016)
RR
Oklahoma(2/12/2016)
RR
Oregon(2/12/2016)
RR
Pennsylvania(2/12/2016)
RR
Puerto Rico(2/12/2016)
RR
Rhode Island(2/12/2016)
RR
South Carolina(2/12/2016)
RR
South Dakota(2/12/2016)
RR
Tennessee(2/12/2016)
RR
Texas(2/12/2016)
RR
Utah(2/12/2016)
RR
Vermont(2/12/2016)
RR
Virgin Islands(2/12/2016)
RR
Virginia(2/12/2016)
RR
Washington(2/12/2016)
RR
West Virginia(2/12/2016)
RR
Wisconsin(2/12/2016)
RR
Wyoming(2/12/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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#: 133366Boston, MA 02210TRUST BUT VERIFY
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