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SR

Sonya Rorie

ALLSPRING FUNDS DISTRIBUTOR
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 7171319
SR

Professional summary

Sonya Rorie, CFA is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in Charlotte, North Carolina.

Sonya is registered as a RR (Registered Representative) and started their career in finance in 2019. Sonya has worked at 1 firm and has passed the Series 63, SIE and Series 7TO 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 Sonya Rorie'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®
CFA

Chartered Financial Analyst

Experience

Current

November 13, 2019 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 1415 Vantage Park Drive, Charlotte, NC 28203
BD
CRD#: 133366
Charlotte, NC

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
North Carolina
(11/26/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/13/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/29/2019
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#: 133366Charlotte, NC 28203

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