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Nuveen Asset Management, LLC CRD 155584
$280B regulatory AUM 25 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-04-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pimco Investments Llc | New York | NY | 02/2011 | 01/2023 |
| Pacific Investment Management Company Llc | New York | NY | 02/2008 | 01/2023 |
| Eq Wealth Advisors | Dallas | TX | 01/2023 | 12/2023 |
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2023 | 09/2023 |
| Nuveen Securities, Llc | Frisco | TX | 04/2024 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 04/2024 | Present |
| White Brick Llc | Frisco | TX | 08/2016 | Present |
(1) Name: Random Walk Position: Singer and rhythm guitar Nature: The band plays at various locations around North Texas Investment Related: N Hours: 2-3 Securities Trading Hours: 0 Start Date: 4/2016 Address: Home Address, Frisco, TX 75033 Description: Sing/Play Guitar/ Entertainment (2) Name: White Brick LLC Position: Owner Nature: Rental Property Investment Related: N Hours: 1 Securities Trading Hours: 0 Start Date: 8/2016 Address: Home Address, Frisco, TX75033 Description: rent out property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-07-31 |
| S65 | Uniform Investment Adviser Law Examination | 2008-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-27 |
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