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Thomas Michael Galloway

Allspring Funds Distributor, LLC

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About Thomas Michael Galloway

Thomas Galloway has been in the financial services industry since 1996. Thomas is currently registered with Allspring Funds Distributor, LLC. Previously, Thomas worked at Franklin Distributors, LLC, Stifel, Nicolaus & Company, Incorporated, Wachovia Capital Markets, LLC, Wachovia Securities, LLC, Deutsche Bank Securities Inc., First Union Capital Markets Corp., BT Alex. Brown Incorporated, and Alex. Brown & Sons Incorporated. Thomas holds the Series 63, Series 7, and SIE securities licenses. Thomas is registered to sell securities in all states except Iowa.

Firm Information

Thomas Galloway is currently registered with Allspring Funds Distributor, LLC. Allspring Funds Distributor, LLC is a Limited Liability Company formed on July 9, 2004, and is registered in 53 states and the District of Columbia. The firm has an approved SEC registration and provides advisory services.

Not reported

Assets Under Management

Not reported

Total Clients

61

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Thomas Galloway’s Registration & Firm History

WI

08/01/2023 - Present

Allspring Funds Distributor, LLC (MENOMONEE FALLS WI)

MD

09/03/2014 - 07/24/2023

FRANKLIN DISTRIBUTORS, LLC (BALTIMORE MD)

MD

03/15/2006 - 07/18/2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED (BALTIMORE MD)

NC

07/01/2003 - 03/13/2006

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

10/01/1999 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

06/14/1999 - 10/05/1999

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NC

08/31/1999 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

MD

09/01/1997 - 06/14/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NA

05/21/1996 - 09/01/1997

ALEX. BROWN & SONS INCORPORATED

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Licenses & Designations

BC

Issued 06/07/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/14/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Michael Galloway.
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