Harold Thomas Whalen

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

• 04/2011 → 03/2020
  Natixis Global Associates
  Boston, MA
• 03/2020 → 04/2025
  Thornburg Securities Llc
  Santa Fe, NM
• 03/2020 → 04/2025
  Thornburg Investment Management Inc
  Santa Fe, NM
• 04/2011 → 03/2020
  Natixis Advisors, L.P.
  Boston, MA
• 04/2011 → 03/2020
  Natixis Distribution, L.P.
  Boston, MA
• 04/2025 → Present
  Nuveen Securities, Llc
  Millersville, MD
• 04/2025 → Present
  Nuveen Asset Management, Llc
  Chicago, IL

Previous Registrations

• 2020-03-27 → 2025-05-07
  Thornburg Investment Management Inc
  Santa Fe, NM
  Millersville, MD
• 2011-04-25 → 2020-04-03
  Natixis Advisors, Llc
  Boston, MA
  Conshohocken, PA
• 2008-08-29 → 2011-04-04
  Eaton Vance Management
  Boston, MA

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-03-20
• S63 Uniform Securities Agent State Law Examination
  2004-02-06

Other Names

• Hal Whalen