Eric L. Frey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Lawrence Frey was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2010 - November 19, 2020
NUVEEN ASSET MANAGEMENT, LLC
March 12, 2003 - November 19, 2020
NUVEEN SECURITIES, LLC
March 10, 2003 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
July 3, 2001 - December 11, 2002
MORGAN STANLEY DW INC.
October 11, 2000 - December 11, 2002
MORGAN STANLEY DW INC.
March 31, 1998 - October 19, 2000
UBS FINANCIAL SERVICES INC.
April 7, 1987 - April 30, 1996
NUVEEN SECURITIES, LLC
March 1, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 24, 1983 - July 10, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/19/2024 | ||
| 12/15/2023 | ||
| 12/15/2022 |
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.
