Lisa M. George
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.
Lisa Marie George, who also goes by Lisa Marie Scharf, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1987. Lisa had worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2011 - February 6, 2026
NUVEEN ASSET MANAGEMENT, LLC
January 26, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
January 26, 2009 - February 6, 2026
NUVEEN SECURITIES, LLC
August 14, 2001 - January 26, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
June 13, 2001 - January 26, 2009
NUVEEN SECURITIES, LLC
July 21, 1998 - August 8, 2000
LOCKWOOD FINANCIAL SERVICES, INC.
August 3, 1995 - June 18, 1998
KA ASSOCIATES, LLC
July 31, 1993 - July 18, 1995
CITIGROUP GLOBAL MARKETS INC.
November 16, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
July 24, 1990 - November 26, 1990
KEYBANC CAPITAL MARKETS INC.
February 15, 1988 - July 25, 1990
LEHMAN BROTHERS INC.
September 24, 1987 - February 15, 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
