Stephen Lopez

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

• 09/2019 → Present
  Nuveen Securities, Llc
  Chicago, IL
• 06/2017 → 09/2019
  Brilliant
  Chicago, IL
• 03/2016 → 06/2017
  Enterprise Holdings
  Chicago, IL
• 09/2022 → Present
  Nuveen Asset Management, Llc
  Chicago, IL

Other Businesses

Name: Ganon's Pub Position: Bartender Nature: Serving customers drinks/food Investment Related: No Hours: 8 hours Securities Trading Hours: 0 Start Date: 8/18/2024 Address: 4264 N Lincoln Ave, Chicago, IL 60618 Description: Serve drinks and food to customers

Exams

• S66 Uniform Combined State Law Examination
  2022-12-30