Nicholas Charles Liberi

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

• 09/2014 → 03/2022
  American Funds Distributors, Inc.
  Carmel, IN
• 07/2022 → Present
  Nuveen Securities, Llc
  New York, NY
• 07/2022 → Present
  Nuveen Asset Management, Llc
  Chicago, IL
• 03/2022 → 07/2022
  Unemployed
  Red Bank, NJ

Previous Registrations

• 2014-10-14 → 2022-03-14
  Capital Client Group, Inc.
  Carmel, IN
• 2013-08-07 → 2014-09-23
  Equinox Fund Management, Llc
  Princeton, NJ
• 2011-03-29 → 2011-08-09
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
• 2010-01-07 → 2010-07-29
  Morgan Stanley
  Shrewsbury, NJ
• 2006-12-11 → 2007-09-25
  Ubs Financial Services Inc.
  Edison, NJ
• 2003-12-05 → 2006-06-07
  Morgan Stanley Dw Inc.
  Red Bank, NJ
  Red Bank, NJ

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-12-04
• S63 Uniform Securities Agent State Law Examination
  1999-07-08

Other Names

• Nicholas C Liberi
• Nicholas Charles Liberi
• Nicholas Liberi