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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 | 2023-12-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ixis Asset Management Advisors Group, L.P. | Boston | MA | 08/2006 | 03/2021 |
| Diffractive Managers Group, Llc | Plymouth | MN | 03/2021 | 10/2023 |
| Foreside Financial Services, Llc | Plymouth | MN | 03/2021 | 06/2023 |
| Diffractive Distribution, Llc | Boston | MA | 03/2023 | 10/2023 |
| Nuveen Securities, Ll | Plymouth | MN | 10/2023 | Present |
| Nuveen Asset Management Llc | Chicago | IL | 10/2023 | Present |
| Natixis Advisors, L.P. | Boston | MA | 08/2006 | 03/2021 |
| Natixis Distribution, L.P. | Boston | MA | 08/2006 | 03/2021 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-12-01 |
| S66 | Uniform Combined State Law Examination | 2002-09-25 |
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