Luis Ricardo Arispe

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

• 06/2016 → 01/2018
  New York Life Insurance Co
  Austin, TX
• 07/2016 → 01/2018
  Nylife Securities Llc
  Austin, TX
• 01/2018 → 11/2019
  Frost Brokerage Services
  San Antonio, TX
• 11/2019 → 03/2021
  Frost Investment Advisors, Llc
  San Antonio, TX
• 03/2021 → 04/2025
  Pacific Investment Management Company Llc
  Austin, TX
• 03/2021 → 04/2025
  Pimco Investments Llc
  Austin, TX
• 04/2025 → Present
  Nuveen Securities, Llc
  Frisco, TX
• 04/2025 → Present
  Nuveen Asset Management Llc
  Chicago, IL

Previous Registrations

• 2020-06-01 → 2021-03-25
  Frost Investment Advisors, Llc
  San Antonio, TX

Other Businesses

Name: Owner of Rental Properties Position: Owner Nature: No duties, as day-to-day management is handled by the property management company. Investment Related: No Hours: 1 hours per week Securities trading hours: 0 Start date: 02/27/2026 Address: Properties are in Texas Description: Two single family homes that serve as rental properties, managed by a third party property management company.

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-08-18
• S63 Uniform Securities Agent State Law Examination
  2016-09-03