Carter T. Stockwell

ALLSPRING FUNDS MANAGEMENT

Charlotte, NC

CRD#: 8046142

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Professional summary

Carter Thomas Stockwell, who also goes by Carter Stockwell, Carter T Stockwell, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Charlotte, North Carolina and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Charlotte, North Carolina.

Carter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Carter has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Aliases

Carter Stockwell | Carter T Stockwell

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) - RIA

Click below to view Carter Thomas Stockwell'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

March 11, 2026 - Present

ALLSPRING FUNDS MANAGEMENT, LLC

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

RIA

CRD#: 110841

Charlotte, NC

Current

March 11, 2026 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

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

CRD#: 133366

CHARLOTTE, NC

Past

June 3, 2025 - March 17, 2026

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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
(3/11/2026)

Alaska
(3/11/2026)

Arizona
(3/11/2026)

Arkansas
(3/11/2026)

California
(3/11/2026)

Colorado
(3/11/2026)

Connecticut
(3/11/2026)

Delaware
(3/11/2026)

District of Columbia
(3/11/2026)

Florida
(3/11/2026)

Georgia
(3/11/2026)

Hawaii
(3/11/2026)

Idaho
(3/11/2026)

Illinois
(3/11/2026)

Indiana
(3/11/2026)

Iowa
(3/11/2026)

Kansas
(3/11/2026)

Kentucky
(3/11/2026)

Louisiana
(3/11/2026)

Maine
(3/11/2026)

Maryland
(3/11/2026)

Massachusetts
(3/11/2026)

Michigan
(3/11/2026)

Minnesota
(3/11/2026)

Mississippi
(3/11/2026)

Missouri
(3/11/2026)

Montana
(3/11/2026)

Nebraska
(3/11/2026)

Nevada
(3/11/2026)

New Hampshire
(3/11/2026)

New Jersey
(3/11/2026)

New Mexico
(3/11/2026)

New York
(3/11/2026)

North Carolina
(3/11/2026)

IAR

North Carolina
(3/11/2026)

North Dakota
(3/11/2026)

Ohio
(3/11/2026)

Oklahoma
(3/11/2026)

Oregon
(3/11/2026)

Pennsylvania
(3/11/2026)

Puerto Rico
(3/11/2026)

Rhode Island
(3/11/2026)

South Carolina
(3/11/2026)

South Dakota
(3/11/2026)

Tennessee
(3/11/2026)

Texas
(3/11/2026)

Utah
(3/11/2026)

Vermont
(3/11/2026)

Virgin Islands
(3/11/2026)

Virginia
(3/11/2026)

Washington
(3/11/2026)

West Virginia
(3/11/2026)

Wisconsin
(3/11/2026)

Wyoming
(3/11/2026)

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: 8/7/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/30/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/18/2022

Securities Industry Essentials 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

714

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFM MARCH 20, 2026 2A BROCHURE (3/20/2026)

Regulatory assets under management

Total Number of Accounts	10,118
AUM (Assets Under Management)	$ 324,654,889,545

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

Carter T. Stockwell

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Thomas Stockwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2024

Series 63

Date: 4/3/2024

Series 7TO

Date: 5/30/2025

SIE

Date: 8/18/2022

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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