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Stephanie A. Negrotti

ALLSPRING FUNDS DISTRIBUTOR
Boston, MA 02210
Some features on this profile are disabled
CRD#: 6099142
SN

Professional summary

Stephanie Alice Negrotti is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2013. Stephanie has worked at 4 firms and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Stephanie Alice Negrotti'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

April 25, 2024 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210
BD
CRD#: 133366
Boston, MA
Past

February 22, 2018 - January 25, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Boston, MA
Past

July 31, 2014 - July 18, 2017

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

April 16, 2013 - July 30, 2014

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/15/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/19/2013
Investment Company Products/Variable Contracts Principal 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

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Company Information

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366Boston, MA 02210

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