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JW

James R. Woodfin

NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2125008
JW

Professional summary

James Roy Woodfin, who also goes by James R Woodfin, Jim Roy Woodfin, Jim Woodfin, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James R Woodfin | Jim Roy Woodfin | Jim Woodfin

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) - RIA

Click below to view James Roy Woodfin'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

March 14, 2013 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606
RIA
CRD#: 155584
Chicago, IL
Current

February 9, 2013 - Present

NUVEEN SECURITIES, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286
BD
CRD#: 469
Chicago, IL
Past

January 21, 2010 - November 9, 2012

DAVIS DISTRIBUTORS, LLC

BD
CRD#: 7975
TUCSON, AZ
Past

December 7, 2007 - January 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HOUSTON, TX
Past

November 14, 2007 - January 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 1, 2002 - July 1, 2005

LIGHTHOUSE DREYFUS GROWTH ADVISORS

RIA
CRD#: 123455
NEW YORK, NY
Past

August 22, 2001 - June 30, 2005

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEW YORK, NY
Past

August 2, 2001 - June 30, 2005

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

March 15, 1991 - September 1, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA
Registered Investment Advisory firm - (11/24/2010 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
Illinois
(12/18/2025)
RR
Texas
(2/9/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/13/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/2/1991
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: 11/13/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA
Registered Investment Advisory firm - (11/24/2010 Approved)
PREMIUM
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606
Mailing Address
Phone number
(312) 917-7700
Established
Firm type
Fiscal year end
# of Employees
373

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NUVEEN ASSET MANAGEMENT, LLC FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts71,370
AUM (Assets Under Management)$ 259,916,966,911

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/21/2025
Cover Page
Report
12/19/2024
Cover Page
Report
12/15/2023
Cover Page
Report
12/15/2022
Cover Page
Report

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 ASSET MANAGEMENT, LLC

CRD#: 155584Chicago, IL 60606

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