Jeffrey Dennis Carlin

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

• 01/2009 → Present
  Index Iq
  Rye Brook, NY
• 09/2011 → Present
  Nuveen Asset Management, Llc
  Chicago, IL

Previous Registrations

• 2010-08-06 → 2011-09-01
  Nuveen Fund Advisors, Llc
  Chicago, IL
• 2007-10-26 → 2009-02-06
  Charles Schwab & Co., Inc.
  San Francisco, CA
  San Francisco, CA

Other Businesses

INVESTMENT MANAGEMENT CONSULTANT ASSOCIATION, 5619 DTC PARKWAY, STE. 500, GREENWOOD VILLAGE, CO., BOARD OF DIRECTORS AND MEMEBER OF INVESTMENT COMMITTEE, 1/1/2008, HOURS PER MONTH 3, HOURS DURING TRADING 0, NO COMPENSATION.

Exams

• S63 Uniform Securities Agent State Law Examination
  2006-04-19
• S65 Uniform Investment Adviser Law Examination
  1998-12-28

Designations

• Chartered Financial Analyst