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HC

Heath M. Carpenter

ALLSPRING FUNDS DISTRIBUTOR
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 5823214
HC

Professional summary

Heath Michael Carpenter, who also goes by Heath M Carpenter, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Milwaukee, Wisconsin.

Heath is registered as a RR (Registered Representative) and started their career in finance in 2010. Heath has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heath M 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heath Michael 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®
None

Experience

Current

January 14, 2026 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 417 E Chicago Street, Milwaukee, WI 53202
BD
CRD#: 133366
Milwaukee, WI
Past

February 16, 2022 - January 6, 2026

PACER FINANCIAL, INC.

BD
CRD#: 137040
MALVERN, PA
Past

September 9, 2021 - February 16, 2022

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

December 22, 2020 - September 23, 2021

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

June 4, 2019 - October 7, 2020

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

June 29, 2017 - May 22, 2019

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

March 5, 2012 - July 11, 2017

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

November 18, 2011 - March 13, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ENGLEWOOD, CO
Past

November 18, 2011 - March 13, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
ENGLEWOOD, CO
Past

January 3, 2011 - June 23, 2011

CITY SECURITIES CORPORATION

RIA
CRD#: 1459
SOUTH BEND, IN
Past

September 21, 2010 - June 23, 2011

CITY SECURITIES CORPORATION

BD
CRD#: 1459
SOUTH BEND, IN

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
Alaska
(1/14/2026)
RR
Oregon
(1/14/2026)
RR
Washington
(1/14/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2010
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLCPARENT
GIBSON, LORI MITCHUMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER3070238
KENNEY, JOHN DUFFDIRECTOR2387755
MCKINLEY, KATHERINE SANDMANCHIEF LEGAL OFFICER6807581
MONINGER, JOHN KENNETHPRESIDENT/CHAIRMAN2494976
WILARY, CAROLYN ANNCHIEF COMPLIANCE OFFICER4220513

Disclosures

Regulatory Event1

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#: 133366Milwaukee, WI 53202

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