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Current Employers
Nuveen Asset Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-07-26
  • IL RA
    APPROVED
    Since 2018-07-26

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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 06/2017 07/2018
Boston College Boston MA 08/2013 05/2017
Nuveen Securities, Llc Chicago IL 07/2018 Present
Nuveen Asset Management, Llc Chicago IL 07/2018 Present
Previous Registrations
Other Businesses

SUSHI HOUSE RESTAURANT; WAITRESS; ANSWER PHONES AND PREPARE CARRYOUT AND DELIVERY ORDERS; APPROXIMATELY 15 HOURS PER WEEK; COMPENSATION IS $20.00 AND HOUR PLUS TIPS; WILL NOT CONFLICT WITH MY RESPONSIBILITIES AT NUVEEN; START DATE: 4/29/20.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-01
  • S66 Uniform Combined State Law Examination
    2018-06-01
Other Names
  • Sarah Johnson

View on SEC IAPD

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