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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-11-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 03/2013 | 11/2021 |
| Tiaa | Charlotte | NC | 03/2013 | 11/2021 |
| Nuveen Securities, Llc | Charlotte | NC | 11/2021 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 11/2021 | Present |
(1) DOOR DASH POSITION: Driver NATURE: Food Delivery INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 901 Market St, Suite 600, San Francisco CA 94103, United States DESCRIPTION: Delivery (2) THERAPEUTIC SERVICES POSITION: Respite Care NATURE: Alternative Family Living Care INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2019 ADDRESS: 5309 Idlewild Rd. N, Charlotte NC 28227, United States DESCRIPTION: Helping those with disabilities (3) AMAZON FLEX POSITION: Delivery Driver NATURE: Retail INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2019 ADDRESS: 300 Dalton Ave, Charlotte NC 28206, United States DESCRIPTION: Amazon deliveries (4) SYJE POSITION: Partner NATURE: Beauty INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: Home Address, Mount Holly NC 28120, United States DESCRIPTION: Hair Salon services (5) REAL ESTATE INVESTING POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: Home Address, Mount Holly NC 28120, United States DESCRIPTION: Investing in real estate
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-16 |
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