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Nuveen Asset Management, LLC CRD 155584
$280B regulatory AUM 25 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-10-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Blackrock Investments, Llc | Plainsboro | NJ | 09/2009 | 06/2021 |
| Nuveen Securities, Llc | Mclean | VA | 07/2021 | Present |
| Nuveen Asset Management Llc | Chicago | IL | 07/2021 | Present |
| Blackrock Investment Management, Llc | Plainsboro | NJ | 09/2009 | 06/2021 |
Name: Defined Contribution Institutional Investment Association (DCIIA) Position: 1) Member At-Large Executive Committee 2) Leadership Committee Member DE&I Sub-Committee Nature: I am going to be serving on the Executive Committee but it is not a formal board in the traditional sense. The Defined Contribution Institutional Investment Association (DCIIA) is a non-profit association dedicated to enhancing the retirement security of America's workers. To do this DCIIA fosters a dialogue among the leaders of the defined contribution community who are passionate about improving defined contribution outcomes. DCIIA's diverse group of members include investment managers consultants and advisors law firms record keepers insurance companies plan sponsors and other thought leaders. Investment Related: No Hours: 1 Securities Trading Hours: no more than a few hours per quarter Start Date: 2/14/2022 Address: 2001 K St. NW, #300, Washington, DC 20006 Description: DCIIA's Executive Committee is the primary advisory body for the organization. The Executive Committee helps set DCIIA's strategic direction and priorities for research and thought leadership. The DE&I Sub-Committee is tasked with exploring ways that DCIIA can increase awareness and visibility of diversity equity and inclusion in the DC industry.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-11-21 |
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