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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-05-27 |
| TN | RA | APPROVED | 2026-05-27 |
| TX | RA | APPROVED | 2026-05-27 |
| IL | RA | APPROVED | 2026-05-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pacific Investment Management Company Llc | Newport Beach | CA | 12/2010 | 02/2022 |
| Roarke Financial Strategies | Franklin | TN | 05/2022 | 08/2025 |
| Brooklyn Investment Group, Llc | Franklin | TN | 07/2023 | 05/2026 |
| Pimco Investments Llc | New Port Beach | CA | 02/2011 | 02/2022 |
| Nuveen Securities, Llc | Franklin | TN | 07/2025 | Present |
| Nuveen Asset Management Llc | Chicago | IL | 05/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-09-05 |
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