Lisa Zard

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

• 03/2015 → 01/2017
  Vivaldi Asset Management, Llc
  Carlsbad, CA
• 04/2015 → 01/2017
  Foreside Fund Services, Llc
  Carlsbad, CA
• 01/2017 → 02/2019
  Alphacore Capital, Llc
  La Jolla, CA
• 02/2017 → 02/2019
  Foreside Fund Services, Llc
  La Jolla, CA
• 03/2019 → 05/2020
  Johcm (Usa) Inc.
  Berwyn, PA
• 03/2019 → 05/2020
  Foreside Financial Services, Llc
  Berwyn, PA
• 05/2020 → Present
  Nuveen Securities, Llc
  Seal Beach, CA
• 05/2020 → Present
  Nuveen Asset Management, Llc
  Chicago, IL

Previous Registrations

• 2017-04-26 → 2019-03-19
  Alphacore Capital Llc
  La Jolla, CA

Other Businesses

Name: CAIA Nature: CAIA SoCal Board: help organize industry events and thought leadership content in the pursuit of higher education revolving around alternative investing. Position: Board Member Description: meetings are quarterly (and can be attended virtually); and it's a volunteer role. Responsibilities would include lending my expertise reaching out to my network and participation/organization of events Investment Related: No Hours: 0-1 Securities Trading Hours: 0 Start Date: 3/21/2022 End date: 3/22/2024 Address: Headquarters: 11 Amity Street, Amherst MA 01002

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-04-26
• S63 Uniform Securities Agent State Law Examination
  2011-01-06

Other Names

• Lisa Theresa Cutuli
• Lisa Cutuli
• Lisa Zard
• Lisa Cutuli Zard