Bradford Lee Rowbotham

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

• 11/2010 → 10/2020
  Legg Mason & Co., Llc.
  Stamford, CT
• 11/2010 → 10/2020
  Legg Mason Investor Services, Llc.
  Stamford, CT
• 11/2010 → 10/2020
  Clearbridge Investments Llc
  New York, NY
• 11/2020 → Present
  Nuveen Securities, Llc
  Iselin, NJ
• 11/2020 → Present
  Nuveen Asset Management, Llc
  Chicago, IL

Previous Registrations

• 2010-11-29 → 2020-10-12
  Clearbridge Investments, Llc
  New York, NY
• 2010-01-12 → 2010-11-11
  Td Ameritrade, Inc.
  New York, NY
• 2010-01-12 → 2010-11-11
  Td Ameritrade Investment Management, Llc
  New York City, NY
• 2007-05-21 → 2009-12-16
  Chase Investment Services Corp.
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-05-19
• S63 Uniform Securities Agent State Law Examination
  2006-05-30

Other Names

• Brad Rowbotham
• Bradford L Rowbotham