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Current Employers
Nuveen Asset Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-01-03
  • IL RA
    APPROVED
    Since 2022-01-03

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
Zacks Investment Management Chicago IL 05/2008 12/2016
Nuveen Securities, Llc Chicago IL 01/2017 Present
Nuveen Asset Management, Llc Chicago IL 01/2022 Present
  • 05/2008 → 12/2016
    Zacks Investment Management
    Chicago, IL
  • 01/2017 → Present
    Nuveen Securities, Llc
    Chicago, IL
  • 01/2022 → Present
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-31
  • S66 Uniform Combined State Law Examination
    2005-03-31
Designations

View on SEC IAPD

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