KL
Karen E. Lutomski
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2252075
KL
Professional summary
Karen Elizabeth Lutomski, CIMA®, who also goes by Karen Lutomski, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Newport Beach, California.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Karen has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 2 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Lutomski
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.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Elizabeth Lutomski's 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®
Experience
Current
August 8, 2011 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
August 5, 2011 - Present
NUVEEN SECURITIES, LLC
Office #1: 4675 Macarthur Court Suite 1100, Newport Beach, CA 92660BD
CRD#: 469
Newport Beach, CA
Past
April 1, 2004 - June 15, 2011
LAZARD ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 129119
SAN FRANCISCO, CA
Past
June 5, 2003 - July 6, 2011
LAZARD ASSET MANAGEMENT LLC
RIA
CRD#: 122836
NEW YORK, NY
Past
May 19, 1995 - April 1, 2004
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
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
RR
Alabama(9/3/2015)
RR
Alaska(9/3/2015)
RR
Arizona(9/3/2015)
RR
Arkansas(9/3/2015)
RR
California(8/5/2011)
IAR
California(8/8/2011)
RR
Colorado(9/3/2015)
RR
Connecticut(9/3/2015)
RR
Delaware(9/3/2015)
RR
District of Columbia(9/3/2015)
RR
Florida(9/3/2015)
RR
Georgia(9/3/2015)
RR
Hawaii(8/5/2011)
RR
Idaho(9/3/2015)
RR
Illinois(9/3/2015)
RR
Indiana(9/3/2015)
RR
Iowa(9/3/2015)
RR
Kansas(9/3/2015)
RR
Kentucky(9/3/2015)
RR
Louisiana(9/3/2015)
RR
Maine(9/3/2015)
RR
Maryland(9/3/2015)
RR
Massachusetts(9/3/2015)
RR
Michigan(9/3/2015)
RR
Minnesota(9/3/2015)
RR
Mississippi(9/3/2015)
RR
Missouri(9/3/2015)
RR
Montana(9/3/2015)
RR
Nebraska(9/3/2015)
RR
Nevada(9/3/2015)
RR
New Hampshire(9/3/2015)
RR
New Jersey(9/3/2015)
RR
New Mexico(9/3/2015)
RR
New York(9/3/2015)
RR
North Carolina(9/4/2015)
RR
North Dakota(9/3/2015)
RR
Ohio(9/3/2015)
RR
Oklahoma(9/3/2015)
RR
Oregon(9/3/2015)
RR
Pennsylvania(9/3/2015)
RR
Puerto Rico(9/3/2015)
RR
Rhode Island(9/3/2015)
RR
South Carolina(9/3/2015)
RR
South Dakota(9/3/2015)
RR
Tennessee(9/3/2015)
RR
Texas(9/3/2015)
RR
Utah(9/3/2015)
RR
Vermont(9/3/2015)
RR
Virgin Islands(9/3/2015)
RR
Virginia(9/3/2015)
RR
Washington(9/3/2015)
RR
West Virginia(9/3/2015)
RR
Wisconsin(9/3/2015)
RR
Wyoming(9/3/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 11/28/1992
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
