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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Distributors, Inc | Denver | CO | 06/2012 | 08/2021 |
| Nuveen Securities, Llc | Cincinnati | OH | 08/2021 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 08/2021 | Present |
(1) Name: Rivertown Ventures, LLC Position: Co-owner of Real Estate LLC Nature: Compensation of rental income Investment Related: No Hours: 1 hour per month Securities trading hours: 0 Start date: 03/30/2014 Address: PO Box 15724 Covington, KY 41015 Description: Rental real estate (2) Name: Adena Property Group, LLC (Formerly ABD Holdings, LLC) Position: Co-Owner Nature: Real Estate Investment Related: No Hours: 1 hour per month Securities trading hours: 0 Start date: 12/23/2016 Address: PO Box 15724, Covington, KY 41015 Description: Rental real estate (3) Name: Collier Beach Road Position: Member Nature: Real Estate Holdings Investment Related: No Hours: 1 hour per month Securities trading hours: 0 Start date: 06/17/2020 Address: PO Box 15724 Covington, KY 41015 Description: Rental real estate (4) Name: Groundswell Holdings LLC Nature: Investment holdings Position: Member Description: Created for the purpose of private placement investments Investment Related: Yes Hours: 1 per month Securities Trading Hours: 0 Start Date: 4/25/2022 Address: Home address
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-04 |
| S66 | Uniform Combined State Law Examination | 2007-05-21 |
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