Charles W. Sauter
Professional summary
Charles William Sauter, who also goes by Charley Sauter, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Los Angeles, California.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Charles has worked at 10 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles William Sauter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2011 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606January 1, 1997 - Present
NUVEEN SECURITIES, LLC
Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067February 6, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
January 28, 2003 - December 31, 2003
NUVEEN INVESTMENTS ADVISERS, LLC
February 25, 2002 - January 27, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
June 15, 2000 - December 31, 2003
NUVEEN FUND ADVISORS, LLC
August 26, 1994 - January 1, 1997
FLAGSHIP FUNDS INC.
July 31, 1993 - June 10, 1994
CITIGROUP GLOBAL MARKETS INC.
August 8, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
July 12, 1991 - July 22, 1991
IDS LIFE INSURANCE COMPANY
July 12, 1991 - July 22, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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
(1/1/1997)
(9/1/2011)
(9/1/2011)
(1/1/1997)
(11/4/2002)
(9/1/2011)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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
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