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Michael James Gooch

Nuveen Asset Management, LLC

Chicago, IL

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Current Employers
Nuveen Asset Management, Llc

333 West Wacker Drive, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-03-30
  • IL RA
    APPROVED
    Since 2022-03-30

Branch Locations

333 West Wacker Drive, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Franklin Distributors, Llc Stamford CT 01/2007 11/2021
Legg Mason & Co Llc Stamford CT 01/2007 07/2021
Nuveen Securities, Llc San Francisco CA 11/2021 Present
Nuveen Asset Management, Llc Chicago IL 11/2021 Present
  • 01/2007 → 11/2021
    Franklin Distributors, Llc
    Stamford, CT
  • 01/2007 → 07/2021
    Legg Mason & Co Llc
    Stamford, CT
  • 11/2021 → Present
    Nuveen Securities, Llc
    San Francisco, CA
  • 11/2021 → Present
    Nuveen Asset Management, Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-29
S63 Uniform Securities Agent State Law Examination 2000-12-20
  • S65 Uniform Investment Adviser Law Examination
    2022-03-29
  • S63 Uniform Securities Agent State Law Examination
    2000-12-20
Other Names
  • Michael James Gooch
  • Michael J Gooch

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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