Nicholas Malcolm Henry

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

• 02/2002 → 05/2019
  Oppenheimerfunds Distributor, Inc.
  New York, NY
• 05/2019 → 05/2021
  Invesco Distributors, Inc.
  Houston, TX
• 12/2021 → 05/2023
  Quasar Distributors, Llc
  Pittsford, NY
• 07/2021 → 02/2023
  Principal Street Partners, Llc
  Pittsford, NY
• 04/2024 → 04/2024
  Advisors Asset Management, Inc
  Monument, CO
• 06/2023 → 04/2024
  Unemployed
  Pittsford, NY
• 05/2024 → Present
  Nuveen Securities, Llc
  Pittsford, NY
• 05/2024 → Present
  Nuveen Asset Management Llc
  Chicago, IL
• 08/2021 → 05/2023
  Principal Street Partners
  Pittsford, NY
• 02/2002 → 05/2021
  Oppenheimerfunds, Invesco
  Houston, TX

Other Businesses

Name: USA Hockey Position: Ice Hockey Referee Nature: Hockey Referee Investment Related: No Hours: 4 Securities Trading Hours: 0 Start Date: 9/1/2022 Address: 1775 Bob Johnson Dr., Colorado Springs, CO 80906 Description: Ice Hockey Referee

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-10-31
• S63 Uniform Securities Agent State Law Examination
  2000-08-14

Other Names

• Nick Henry
• Nicholas Henry
• Nicholas Malcolm Henry