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30 Rockefeller Plaza, New York, NY 10112 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-29 |
Branch Locations
30 Rockefeller Plaza, New York, NY 10112 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Investments, Llc | Chicago | IL | 01/2008 | 11/2020 |
| Nuveen Asset Management, Llc | Chicago | IL | 09/2011 | 11/2020 |
| Cantor Fitzgerald & Co. | New York | NY | 05/2021 | 09/2022 |
| Unemployed | New York | NY | 11/2020 | 05/2021 |
| Lazard Asset Management Llc | New York | NY | 09/2022 | Present |
| Lazard Asset Management Securities Llc | New York | NY | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-13 |
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