Kaitlyn M. Horwitz
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.
Kaitlyn Marie Horwitz, who also goes by Kaitlyn Horwitz, was a registered financial professional .
Kaitlyn is a previously registered financial professional and started their career in finance in 2009. Kaitlyn had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - December 18, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
January 4, 2010 - July 23, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
December 4, 2009 - January 4, 2010
EVERGREEN INVESTMENT MANAGEMENT CO
November 9, 2009 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
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.
