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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 04/2011 | 11/2016 |
| Teachers Personal Investors Services, Inc. | Charlotte | NC | 11/2016 | 12/2016 |
| Nuveen Securities, Llc | Chicago | IL | 01/2017 | 12/2019 |
| Fidelity Brokerage Services Llc | Charlotte | NC | 06/2020 | 03/2022 |
| Unemployed | Charlotte | NC | 01/2020 | 05/2020 |
| Fidelity Personal And Workplace Advisors | Charlotte | NC | 06/2020 | 03/2022 |
| Nuveen Asset Management Llc | Chicago | IL | 01/2017 | 12/2019 |
| Nuveen Securities, Llc | Charlotte | NC | 04/2022 | 07/2023 |
| Nuveen Asset Management Llc | Chicago | IL | 04/2022 | 07/2023 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 07/2023 | 10/2024 |
| Tiaa | Charlotte | NC | 07/2023 | 10/2024 |
| Lpl Financial Llc | Fort Mill | SC | 05/2025 | 06/2026 |
| Unemployed | Huntersville | NC | 10/2024 | 05/2025 |
| Nuveen Securities, Llc | Charlotte | NC | 06/2026 | Present |
| Nuveen Asset Management, Llc | Charlotte | NC | 06/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-25 |
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