CV
Carling N. Vantine
ALLSPRING FUNDS DISTRIBUTOR
Boston, MA 02210
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CRD#: 5937894
CV
Professional summary
Carling Nicole Vantine, who also goes by Carling N Vantine, Carling Nicole Vantine, Carling Vantine, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.
Carling is registered as a RR (Registered Representative) and started their career in finance in 2011. Carling has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Carling N Vantine | Carling Nicole Vantine | Carling Vantine
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 Carling Nicole Vantine'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
May 10, 2021 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210BD
CRD#: 133366
Boston, MA
Past
May 25, 2017 - April 26, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
November 4, 2015 - August 2, 2016
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
SMITHFIELD, RI
Past
May 15, 2015 - September 9, 2015
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
January 26, 2015 - April 22, 2015
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
NASHVILLE, TN
Past
March 16, 2012 - August 5, 2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
September 27, 2011 - March 27, 2012
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SANDWICH, MA
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(1/6/2022)
RR
Alaska(1/6/2022)
RR
Arizona(1/6/2022)
RR
Arkansas(1/6/2022)
RR
California(1/6/2022)
RR
Colorado(1/6/2022)
RR
Connecticut(9/22/2021)
RR
Delaware(1/6/2022)
RR
District of Columbia(1/6/2022)
RR
Florida(1/6/2022)
RR
Georgia(1/6/2022)
RR
Hawaii(1/6/2022)
RR
Idaho(1/6/2022)
RR
Illinois(1/6/2022)
RR
Indiana(1/6/2022)
RR
Iowa(1/6/2022)
RR
Kansas(1/6/2022)
RR
Kentucky(1/6/2022)
RR
Louisiana(1/6/2022)
RR
Maine(9/22/2021)
RR
Maryland(1/6/2022)
RR
Massachusetts(5/10/2021)
RR
Michigan(1/6/2022)
RR
Minnesota(1/6/2022)
RR
Mississippi(1/6/2022)
RR
Missouri(1/6/2022)
RR
Montana(1/6/2022)
RR
Nebraska(1/6/2022)
RR
Nevada(1/6/2022)
RR
New Hampshire(9/22/2021)
RR
New Jersey(1/6/2022)
RR
New Mexico(1/6/2022)
RR
New York(1/6/2022)
RR
North Carolina(1/6/2022)
RR
North Dakota(1/6/2022)
RR
Ohio(1/7/2022)
RR
Oklahoma(1/6/2022)
RR
Oregon(1/6/2022)
RR
Pennsylvania(1/6/2022)
RR
Puerto Rico(1/6/2022)
RR
Rhode Island(1/6/2022)
RR
South Carolina(1/6/2022)
RR
South Dakota(1/6/2022)
RR
Tennessee(1/6/2022)
RR
Texas(1/6/2022)
RR
Utah(1/6/2022)
RR
Vermont(9/22/2021)
RR
Virgin Islands(1/6/2022)
RR
Virginia(1/6/2022)
RR
Washington(1/6/2022)
RR
West Virginia(1/6/2022)
RR
Wisconsin(1/6/2022)
RR
Wyoming(1/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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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