James E. Folwell
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.
James E Folwell, who also goes by James Edward Folwell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 7 firms and has passed the Series 66, 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
March 24, 2011 - June 6, 2011
NUVEEN ASSET MANAGEMENT, LLC
January 3, 2011 - August 1, 2017
NUVEEN SECURITIES, LLC
December 15, 2009 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
June 27, 2008 - January 29, 2009
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 7, 2007 - May 20, 2008
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
July 3, 2006 - May 20, 2008
AMUNDI DISTRIBUTOR US, INC.
April 21, 1997 - June 1, 1998
MFS FUND DISTRIBUTORS, 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.
