James Marshall Dawson

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

• 09/2016 → 04/2025
  Pimco Investments Llc
  New York, NY
• 07/2016 → 09/2016
  Unemployed
  New York, NY
• 04/2025 → Present
  Nuveen Securities, Llc
  Louisville, KY
• 04/2025 → Present
  Nuveen Asset Management Llc
  Chicago, IL

Previous Registrations

• 2016-04-05 → 2016-07-29
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Louisville, KY

Other Businesses

Name: Wurtele Ave, LLC Position: Owner/Partner Nature: Real Estate Rental Investment Related: No Hours: 1 hours per week Securities Trading Hours: 0 Start Date: 06/01/2020 Address: 1522 Wurtele Ave., Louisville, KY 40208 Description: This is an LLC owned by my wife and I. We own one residential rental property. We use a third party management company to manage all of the day-to-day operations for the home.

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-08-29
• S66 Uniform Combined State Law Examination
  2016-04-04

Other Names

• James M Dawson