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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Profunds Distributors, Inc. | Bethesda | MD | 04/2017 | 04/2020 |
| Proshares | Bethesda | MD | 12/2015 | 04/2020 |
| New York Life | New York | NY | 04/2020 | 07/2024 |
| Nylife Distributors Llc | New York | NY | 04/2020 | 07/2024 |
| Nuveen Securities, Llc | Richmond | VA | 07/2024 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-17 |
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