Maria Gabriela Harmon
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.
Maria Gabriela Harmon, who also goes by Gabriela Harmon, Gaby Harmon, Gabriela Lopez, was a registered financial professional .
Maria Gabriela is a previously registered financial professional and started their career in finance in 1988. Maria Gabriela had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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, 2015 - April 18, 2017
NUVEEN ASSET MANAGEMENT, LLC
September 1, 2015 - April 18, 2017
NUVEEN SECURITIES, LLC
October 12, 2011 - July 7, 2015
FIRST TRUST ADVISORS LP
May 17, 2004 - July 7, 2015
FIRST TRUST PORTFOLIOS L.P.
July 16, 2003 - May 5, 2004
WAMU INVESTMENTS, INC.
March 25, 2003 - July 11, 2003
CITICORP INVESTMENT SERVICES
June 29, 1998 - July 2, 2001
FIRST TRUST PORTFOLIOS L.P.
May 22, 1992 - June 23, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 19, 1988 - August 16, 1990
CLAYTON BROWN & ASSOCIATES, 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.
