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Brian Thomas Essig

Nuveen Asset Management, LLC

Chicago, IL

CRD 5688741

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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:

Current Employers
Nuveen Asset Management, Llc

333 West Wacker Drive, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-01-25
  • IL RA
    APPROVED
    Since 2021-01-25

Branch Locations

333 West Wacker Drive, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guggenheim Partners Chicago IL 01/2012 11/2020
Guggenheim Funds Distsributors, Llc Chicago IL 10/2014 12/2020
Nuveen Securities, Llc Charlotte NC 12/2020 Present
Nuveen Asset Management, Llc Chicago IL 12/2020 Present
  • 01/2012 → 11/2020
    Guggenheim Partners
    Chicago, IL
  • 10/2014 → 12/2020
    Guggenheim Funds Distsributors, Llc
    Chicago, IL
  • 12/2020 → Present
    Nuveen Securities, Llc
    Charlotte, NC
  • 12/2020 → Present
    Nuveen Asset Management, Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-23
S63 Uniform Securities Agent State Law Examination 2014-12-19
  • S65 Uniform Investment Adviser Law Examination
    2021-01-23
  • S63 Uniform Securities Agent State Law Examination
    2014-12-19
Other Names
  • Brian Essig

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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