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Spencer Maxwell Dalton

Nuveen Asset Management, LLC

Chicago, IL

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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 2020-08-06
  • IL RA
    APPROVED
    Since 2020-08-06

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
Alpine Woods Capital Investors Purchase NY 11/2011 04/2018
Quasar Distributors, Llc Milwaukee WI 11/2011 04/2018
Lasalle Investment Management Chicago IL 04/2018 05/2020
Nuveen Securities, Llc. New York NY 05/2020 Present
Nuveen Asset Management, Llc Chicago IL 05/2020 Present
  • 11/2011 → 04/2018
    Alpine Woods Capital Investors
    Purchase, NY
  • 11/2011 → 04/2018
    Quasar Distributors, Llc
    Milwaukee, WI
  • 04/2018 → 05/2020
    Lasalle Investment Management
    Chicago, IL
  • 05/2020 → Present
    Nuveen Securities, Llc.
    New York, NY
  • 05/2020 → Present
    Nuveen Asset Management, Llc
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-05
S66 Uniform Combined State Law Examination 2005-09-21
  • S65 Uniform Investment Adviser Law Examination
    2020-08-05
  • S66 Uniform Combined State Law Examination
    2005-09-21
Other Names
  • Max Dalton

View on SEC IAPD

Other Firms

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GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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