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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Travis Caswell

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Wauwatosa, WI | NEW YORK, NY

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Search this name across graphsid dfx:ria:93fe7dab-2de9-c3df-42fe-e682631541fe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Dec 11, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 7, 2018
First registration: Dec 11, 2018
Dual registered: yes, broker-dealer
Other names: Travis Michael Caswell|Travis Caswell|Travis M Caswell
IAPD individual key: 6735072

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	May 30, 2024	n/a	yes	Wauwatosa, WI\|NEW YORK, NY	Current employment
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	Aug 26, 2022	May 23, 2024	no	Milaukee, WI\|Menomonee Falls, WI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2022	Aug 23, 2022	no	MILWAUKEE, WI	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Sep 24, 2019	May 18, 2022	no	MADISON, WI\|Milwaukee, WI	Previous registration
EDWARD JONES	National bd RIA	Dec 11, 2018	Sep 5, 2019	no	Oshkosh, WI\|ST LOUIS, MO\|TEMPE, AZ\|OSHKOSH, WI\|OSHKOSH, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALLSPRING FUNDS MANAGEMENT, LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	May 23, 2024	May 30, 2024	7	Firm change	Other
LPL FINANCIAL LLC	ALLSPRING FUNDS MANAGEMENT, LLC	Aug 23, 2022	Aug 26, 2022	3	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
EDWARD JONES	CUNA BROKERAGE SERVICES, INC.	Sep 5, 2019	Sep 24, 2019	19	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
May 30, 2024 to presentfactForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 26, 2022 to May 23, 2024factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2022 to Aug 23, 2022factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Sep 24, 2019 to May 18, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 11, 2018 to Sep 5, 2019factForm ADV

Dated events

Occurred
May 23, 2024
Advisor changed firm
Travis Caswell left Allspring Funds Management, Llc for New York Life Investment Management Llc (registered 2024-05-30)
Form ADVobserved 5 days ago
Occurred
Aug 23, 2022
Advisor changed firm
Travis Caswell left Lpl Financial Llc for Allspring Funds Management, Llc (registered 2022-08-26)
Form ADVobserved 5 days ago