Douglas V. Basile
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Vance Basile, who also goes by Doug Basile, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2009. Douglas had worked at 6 firms and has passed the Series 66, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - June 25, 2012
ALLSPRING FUNDS MANAGEMENT, LLC
April 8, 2011 - June 25, 2012
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 16, 2010 - April 4, 2011
TRADEWISE ADVISORS, INC.
May 26, 2010 - April 4, 2011
TD AMERITRADE, INC.
December 23, 2009 - August 6, 2010
THINKORSWIM ADVISORS, INC.
September 22, 2009 - May 26, 2010
BELLEVUE CHICAGO, LLC
Primary Firm SEC Registration
ALLSPRING FUNDS MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSPRING FUNDS MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
Contact information
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.
