James Roy Woodfin

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

• 02/2013 → Present
  Nuveen Securities, Llc
  Sugar Land, TX
• 02/2013 → Present
  Nuveen Asset Management, Llc
  Chicago, IL

Previous Registrations

• 2007-12-07 → 2010-01-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  New York, NY
• 2002-11-01 → 2005-07-01
  Lighthouse Dreyfus Growth Advisors
  New York, NY
• 2001-08-22 → 2005-06-30
  Bny Mellon Securities Corporation
  New York, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-03-13
• S66 Uniform Combined State Law Examination
  2007-12-05
• S63 Uniform Securities Agent State Law Examination
  1991-04-02

Other Names

• James Roy Woodfin
• Jim Roy Woodfin
• Jim Woodfin
• Jim Woodfin
• Jim Woodfin
• James Roy Woodfin
• James R Woodfin