James Patrick Farrar

Employer firm

Nuveen Asset Management, LLC CRD 155584

$280B regulatory AUM 25 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → Present
  Nuveen Investments
  Chicago, IL

Previous Registrations

• 2005-09-02 → 2016-03-23
  Rbc Capital Markets, Llc
  Minneapolis, MN
  Minneapolis, MN
  Charlotte, NC
  Charlotte, NC
  Minneapolis, MN
  Chicago, IL
  Chicago, IL
• 2001-12-31 → 2003-10-31
  Jbs Liberty Securities, Inc.
  Charlotte, NC

Other Businesses

HUCK FINN PROPERTIES LLC CHICAGO, IL LLC FOR RENTAL PROPERTY. STARTED 2007 AND NO END DATE. HAVE MGMT CO TO MANAGE PROPERTIES AND I CHECK MONTHLY THE INCOME STATEMENT/BALANCE SHEET.

Exams

• S66 Uniform Combined State Law Examination
  2001-06-07
• S63 Uniform Securities Agent State Law Examination
  2001-02-20

Other Names

• J P Farrar