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Nuveen Asset Management, LLC CRD 155584
$280B regulatory AUM 25 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2013-06-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Securities, Llc | Chicago | IL | 05/2013 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 05/2013 | Present |
Name: Chartered Alternative Investment Analyst Association Position: Associate Nature: financial industry professional association for holders of CAIA designation Investment Related: No Hours: 1 hour per week Securities Trading Hours: 0 Start Date: 02/21/2023 Address: 11 AMITY ST, AMHERST MA 01002 Description: I'll be helping to plan networking events /educational events for members of the local Chicago Chapter of the organization.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-10 |
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