Bhavesh S. Rana

ALLSPRING FUNDS MANAGEMENT

Mooresville, NC

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CRD#: 5973504

Professional summary

Bhavesh S Rana, who also goes by Bhavesh S Rana, Bhavesh Rana, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Mooresville, North Carolina and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Charlotte, North Carolina.

Bhavesh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Bhavesh has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bhavesh S Rana | Bhavesh Rana

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.

1. owner - rental real estate - Franklin Park NJ & Roselle NJ - 0 hours securities - 4 hour per month outside of business hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bhavesh S Rana's CRS (Customer Relationship Summary).

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

July 25, 2024 - Present

ALLSPRING FUNDS MANAGEMENT, LLC

Office #2: 1415 Vantage Park Drive 3rd Floor, Charlotte, NC 28203

RIA

CRD#: 110841

Mooresville, NC

Current

July 24, 2024 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 1415 Vantage Park Drive, Charlotte, NC 28203

CRD#: 133366

Charlotte, NC

Past

August 22, 2022 - September 13, 2023

MORGAN STANLEY

RIA

CRD#: 149777

PURCHASE, NY

Past

March 30, 2021 - September 13, 2023

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

March 27, 2018 - January 29, 2021

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684

Whippany, NJ

Past

October 3, 2017 - March 13, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SOMERSET, NJ

Past

October 10, 2011 - April 6, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CLOSTER, NJ

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".

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.

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

Alabama
(7/24/2024)

Alaska
(7/24/2024)

Arizona
(7/24/2024)

Arkansas
(7/24/2024)

California
(7/24/2024)

Colorado
(7/24/2024)

Connecticut
(7/24/2024)

Delaware
(7/24/2024)

District of Columbia
(7/24/2024)

Florida
(7/24/2024)

Georgia
(7/24/2024)

Hawaii
(7/24/2024)

Idaho
(7/24/2024)

Illinois
(7/24/2024)

Indiana
(7/24/2024)

Iowa
(7/24/2024)

Kansas
(7/24/2024)

Kentucky
(7/24/2024)

Louisiana
(7/24/2024)

Maine
(7/24/2024)

Maryland
(7/24/2024)

Massachusetts
(7/24/2024)

Michigan
(7/24/2024)

Minnesota
(7/24/2024)

Mississippi
(7/24/2024)

Missouri
(7/24/2024)

Montana
(7/24/2024)

Nebraska
(7/24/2024)

Nevada
(7/24/2024)

New Hampshire
(7/24/2024)

New Jersey
(7/24/2024)

New Mexico
(7/24/2024)

New York
(7/24/2024)

North Carolina
(7/24/2024)

IAR

North Carolina
(12/6/2024)

North Dakota
(7/24/2024)

Ohio
(7/25/2024)

Oklahoma
(7/24/2024)

Oregon
(7/24/2024)

Pennsylvania
(7/24/2024)

Puerto Rico
(7/24/2024)

Rhode Island
(7/24/2024)

South Carolina
(7/24/2024)

South Dakota
(7/24/2024)

Tennessee
(7/24/2024)

Texas
(7/24/2024)

Utah
(7/24/2024)

Vermont
(7/24/2024)

Virgin Islands
(7/24/2024)

Virginia
(7/24/2024)

Washington
(7/24/2024)

West Virginia
(7/24/2024)

Wisconsin
(7/24/2024)

Wyoming
(7/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/7/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFM MARCH 24, 2025 2A BROCHURE (3/24/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Bhavesh S. Rana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bhavesh S Rana's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

MORGAN STANLEY

MORGAN STANLEY

METLIFE INVESTMENTS SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2022

Series 63

Date: 10/18/2011

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2013

Series 6

Date: 10/7/2011

FINRA

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

TRUST BUT VERIFY

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