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Nuveen Asset Management, LLC CRD 155584
$280B regulatory AUM 25 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-12-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Fund Services | Denver | CO | 01/2013 | 09/2021 |
| Alps Portfolio Solutions Distributor, Inc. | Denver | CO | 01/2014 | 09/2021 |
| Nuveen Securities, Llc | Oakland | CA | 09/2021 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-19 |
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