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AL

Anthony R. Low

NUVEEN SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 1317968
AL

Professional summary

Anthony Richard Low, who also goes by Tony Low, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1984. Anthony has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Low

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) - BD

Click below to view Anthony Richard Low'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

January 3, 2017 - Present

NUVEEN SECURITIES, LLC

Office #1: 730 Third Ave, New York, NY 10017
BD
CRD#: 469
New York, NY
Past

October 17, 2013 - December 31, 2016

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

November 26, 2007 - September 12, 2013

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

March 13, 2003 - October 15, 2003

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

January 13, 2000 - September 24, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

September 9, 1998 - October 18, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

June 5, 1993 - July 17, 1995

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

April 30, 1993 - June 18, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

January 4, 1990 - April 7, 1993

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

January 15, 1988 - January 3, 1990

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

November 13, 1984 - January 6, 1988

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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.

Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469New York, NY 10017

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