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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-10-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Charlotte | NC | 11/2009 | 04/2018 |
| Tiaa | Charlotte | NC | 04/2018 | 09/2025 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 04/2018 | 09/2025 |
| Nuveen Securities, Llc | Charlotte | NC | 10/2021 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 09/2025 | Present |
(1) CHARLOTTE RISE FC POSITION: W9 employee NATURE: Soccer club formed for the education and development of youth in the game of soccer INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: Home Address, Charlotte NC 28226, United States DESCRIPTION: Soccer club formed for the education and development of youth in the game of soccer (2) CHARLOTTE COUNTRY DAY SCHOOL POSITION: Coaching NATURE: Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 08/07/2023 ADDRESS: 1440 Carmel Road, Charlotte NC 28226, United States DESCRIPTION: Assistant JV Coach for Girls Volleyball
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-28 |
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