Simon Lee Sossoman

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

• 10/2020 → 04/2021
  Vanguard Marketing Corporation
  Charlotte, NC
• 06/2017 → 08/2017
  Peninsula Yacht Club
  Cornelius, NC
• 05/2018 → 08/2018
  West Marine
  Cornelius, NC
• 05/2019 → 08/2019
  Gcg Wealth Management
  Charlotte, NC
• 08/2017 → 08/2020
  Clemson University
  Clemson, SC
• 08/2016 → 05/2017
  Tri-County Technical College
  Pendleton, SC
• 05/2021 → 09/2023
  Barnabas Capital, Llc
  Cornelius, NC
• 09/2023 → Present
  Nuveen Securities, Llc
  Charlotte, NC
• 09/2023 → Present
  Nuveen Asset Management, Llc
  Charlotte, NC

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-10-30
• S63 Uniform Securities Agent State Law Examination
  2021-02-16

Other Names

• Simon Sossoman