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Whitney Rachel Vaughn

Nuveen Asset Management, LLC

Chicago, IL

CRD 7304766

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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:

Current Employers
Nuveen Asset Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-01-19
  • IL RA
    APPROVED
    Since 2021-01-19

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
Nuveen Securities, Llc Aurora CO 11/2020 Present
Nuveen Asset Management, Llc Chicago IL 11/2020 Present
Colorado Safe Haven For Newborns Centennial CO 10/2019 Present
Self-Employed, Contracted By Landow Performance Centennial CO 09/2013 07/2020
Unemployed Centennial CO 03/2020 05/2020
  • 11/2020 → Present
    Nuveen Securities, Llc
    Aurora, CO
  • 11/2020 → Present
    Chicago, IL
  • 10/2019 → Present
    Colorado Safe Haven For Newborns
    Centennial, CO
  • 09/2013 → 07/2020
    Self-Employed, Contracted By Landow Performance
    Centennial, CO
  • 03/2020 → 05/2020
    Unemployed
    Centennial, CO
Other Businesses

Name: Colorado Safe Haven for Newborns Position: Executive Director Nature: 501(c)3 not-for-profit organization, to spread awareness of the Safe Haven law Investment Related: No Hours: 2-10 hrs/week Securities Trading Hours: 0 Start Date: 10/01/2019 Address: Home Address, Centennial, CO 80015 Description: My duties include speaking with fire departments, hospitals, and media about the Safe Haven law, distributing signs to Safe Haven locations, managing finances for the organization, communicating with board members, and helping with fundraising opportunities

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-05
  • S66 Uniform Combined State Law Examination
    2020-12-05
Other Names
  • Whitney Rachel Wright
  • Whitney R Vaughn

View on SEC IAPD

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