HS
Holly H. Swan
ALLSPRING FUNDS MANAGEMENT
Boston, MA
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CRD#: 6942443
HS
Professional summary
Holly Harben Swan, who also goes by Holly Elyse Harben, Holly Swan, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Boston, Massachusetts and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.
Holly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Holly has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Holly Elyse Harben | Holly Swan
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.
*503016 : Brighter Boston, Inc. ; Investment related : No ; Chestnut Hill ; Massachusetts ; Children/Youth:Art/Culture ; Board Member(proprietor, partner, officer, director, employee, trustee, agent) ; 1/2020 ; During business hours : 0 ; After business hours : 4 ; Administrative:Fundraising
CRS (Client Relationship Summary) - RIA
Click below to view Holly Harben Swan'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
November 21, 2024 - Present
ALLSPRING FUNDS MANAGEMENT, LLC
Office #3: 101 Seaport Blvd 11th Floor, Boston, MA 02210RIA
CRD#: 110841
Boston, MA
Current
October 29, 2024 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210BD
CRD#: 133366
Boston, MA
Past
September 27, 2022 - October 25, 2024
EATON VANCE MANAGEMENT
RIA
CRD#: 104859
BOSTON, MA
Past
September 16, 2022 - October 25, 2024
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
June 10, 2022 - September 16, 2022
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
Boston, MA
Past
March 5, 2019 - April 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
November 20, 2018 - April 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
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".
AF
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.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(10/29/2024)
RR
Alaska(10/29/2024)
RR
Arizona(10/29/2024)
RR
Arkansas(10/29/2024)
RR
California(10/29/2024)
RR
Colorado(10/29/2024)
RR
Connecticut(10/29/2024)
RR
Delaware(10/29/2024)
RR
District of Columbia(10/29/2024)
RR
Florida(10/29/2024)
RR
Georgia(10/29/2024)
RR
Hawaii(10/29/2024)
RR
Idaho(10/29/2024)
RR
Illinois(10/29/2024)
RR
Indiana(10/29/2024)
RR
Iowa(10/29/2024)
RR
Kansas(10/29/2024)
RR
Kentucky(10/29/2024)
RR
Louisiana(10/29/2024)
RR
Maine(10/29/2024)
RR
Maryland(10/29/2024)
RR
Massachusetts(10/29/2024)
IAR
Massachusetts(11/21/2024)
RR
Michigan(10/29/2024)
RR
Minnesota(10/29/2024)
RR
Mississippi(10/29/2024)
RR
Missouri(10/29/2024)
RR
Montana(10/29/2024)
RR
Nebraska(10/29/2024)
RR
Nevada(10/29/2024)
RR
New Hampshire(10/29/2024)
RR
New Jersey(10/29/2024)
RR
New Mexico(10/29/2024)
RR
New York(10/29/2024)
RR
North Carolina(10/29/2024)
RR
North Dakota(10/29/2024)
RR
Ohio(10/29/2024)
RR
Oklahoma(10/29/2024)
RR
Oregon(10/29/2024)
RR
Pennsylvania(10/29/2024)
RR
Puerto Rico(10/29/2024)
RR
Rhode Island(10/29/2024)
RR
South Carolina(10/29/2024)
RR
South Dakota(10/29/2024)
RR
Tennessee(10/29/2024)
RR
Texas(10/29/2024)
RR
Utah(10/29/2024)
RR
Vermont(10/29/2024)
RR
Virgin Islands(10/29/2024)
RR
Virginia(10/29/2024)
RR
Washington(10/29/2024)
RR
West Virginia(10/29/2024)
RR
Wisconsin(10/29/2024)
RR
Wyoming(10/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSPRING FUNDS MANAGEMENT, LLC
ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC
CRD#: 110841 / SEC#: 801-58237
RIA
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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
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.
