Michael S. Rosenthal

NUVEEN ASSET MANAGEMENT

CHICAGO, IL 60606

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CRD#: 1076424

Professional summary

Michael Steven Rosenthal is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Michael has worked at 3 firms and has passed the Series 66, Series 7, Series 52, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Rosenthal's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 1, 2011 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606

RIA

CRD#: 155584

CHICAGO, IL

Past

July 20, 2001 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

April 13, 1983 - October 11, 2012

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(9/1/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/21/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/12/1997

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/6/1988

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/12/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/2010

General Securities Principal Examination

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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Contact information

Main Address

333 West Wacker Drive, Chicago, IL 60606

Mailing Address

Phone number

(312) 917-7700

Established

Firm type

Fiscal year end

# of Employees

373

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NUVEEN ASSET MANAGEMENT, LLC FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	71,370
AUM (Assets Under Management)	$ 259,916,966,911

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2025	Cover Page	Report
12/19/2024	Cover Page	Report
12/15/2023	Cover Page	Report
12/15/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael S. Rosenthal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Rosenthal's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2001

Series 7

Date: 3/12/1997

Series 52

Date: 10/6/1988

Series 6

Date: 4/12/1983

Series 24

Date: 9/28/2010

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NUVEEN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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