Charles P. Graves
Professional summary
Charles P Graves III, CFA, who also goes by Chad Graves, Charles Paulson Graves III, Charles P Graves III Iii, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Charles has worked at 8 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) - RIA
Click below to view Charles P Graves III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2016 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606June 28, 2016 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286June 1, 2009 - July 11, 2016
MORGAN STANLEY
June 1, 2009 - July 11, 2016
MORGAN STANLEY
April 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 19, 2005 - April 9, 2008
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - April 9, 2008
FRANKLIN DISTRIBUTORS, LLC
September 27, 1994 - December 16, 2005
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
December 17, 1985 - May 14, 1988
E. F. HUTTON & COMPANY 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
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Exams
FINRA
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.
