BC
Bryan D. Carpenter
ALLSPRING FUNDS MANAGEMENT
Cumberland, RI
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CRD#: 5598483
BC
Professional summary
Bryan Dennis Carpenter, who also goes by Bryan Carpenter, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Cumberland, Rhode Island and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.
Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Bryan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bryan Carpenter
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 NAME OF THE OTHER BUSINESS -LEASING OUT MY HOME, PROPERTY HELD IN MY NAME/RESIDENTIAL LEASE AGREEMENT WITH ALBERT REALTORS WHETHER THE BUSINESS IS INVESTMENT-RELATED - NO THE ADDRESS OF THE OTHER BUSINESS 626 SMITHFIELD RD, UNIT 104 NORTH PROVIDENCE, RI 02904 THE NATURE OF THE OTHER BUSINESS- RENTAL PROPERTY YOUR POSITION - OWNER/LANDLORD, LEASE START DATE 12/01/2014 AND ENDS 11/30/2016 THE APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS- 0 THE NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS - 0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS - OWNER/LANDLORD FOR PROPERTY
CRS (Client Relationship Summary) - RIA
Click below to view Bryan Dennis Carpenter'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
August 31, 2022 - Present
ALLSPRING FUNDS MANAGEMENT, LLC
Office #2: 101 Seaport Blvd 11th Floor, Boston, MA 02210RIA
CRD#: 110841
Cumberland, RI
Current
August 30, 2022 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210BD
CRD#: 133366
Boston, MA
Past
October 6, 2014 - July 12, 2022
NATIXIS ADVISORS, LLC
RIA
CRD#: 106800
BOSTON, MA
Past
September 17, 2014 - July 12, 2022
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
October 23, 2009 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PROVIDENCE, RI
Past
October 23, 2009 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PROVIDENCE, RI
Past
June 10, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BOSTON, MA
Past
November 21, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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".
AF
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(8/30/2022)
RR
Alaska(8/30/2022)
RR
Arizona(8/30/2022)
RR
Arkansas(8/30/2022)
RR
California(8/30/2022)
RR
Colorado(8/30/2022)
RR
Connecticut(8/30/2022)
RR
Delaware(8/30/2022)
RR
District of Columbia(8/30/2022)
RR
Florida(8/30/2022)
RR
Georgia(8/30/2022)
RR
Hawaii(8/30/2022)
RR
Idaho(8/30/2022)
RR
Illinois(8/30/2022)
RR
Indiana(8/30/2022)
RR
Iowa(8/30/2022)
RR
Kansas(8/30/2022)
RR
Kentucky(8/30/2022)
RR
Louisiana(8/30/2022)
RR
Maine(8/30/2022)
RR
Maryland(8/30/2022)
RR
Massachusetts(8/30/2022)
RR
Michigan(8/30/2022)
RR
Minnesota(8/30/2022)
RR
Mississippi(8/30/2022)
RR
Missouri(8/30/2022)
RR
Montana(8/30/2022)
RR
Nebraska(8/30/2022)
RR
Nevada(8/30/2022)
RR
New Hampshire(8/30/2022)
RR
New Jersey(8/30/2022)
RR
New Mexico(8/30/2022)
RR
New York(8/30/2022)
RR
North Carolina(8/30/2022)
RR
North Dakota(8/30/2022)
RR
Ohio(8/30/2022)
RR
Oklahoma(8/30/2022)
RR
Oregon(8/30/2022)
RR
Pennsylvania(8/30/2022)
RR
Puerto Rico(8/30/2022)
RR
Rhode Island(8/30/2022)
IAR
Rhode Island(8/31/2022)
RR
South Carolina(8/30/2022)
RR
South Dakota(8/30/2022)
RR
Tennessee(8/30/2022)
RR
Texas(8/30/2022)
RR
Utah(8/30/2022)
RR
Vermont(8/30/2022)
RR
Virgin Islands(8/30/2022)
RR
Virginia(8/30/2022)
RR
Washington(8/30/2022)
RR
West Virginia(8/30/2022)
RR
Wisconsin(8/30/2022)
RR
Wyoming(8/30/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
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)Upgrade to AdvisorCheck Premium
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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
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.
