Thomas J. Assicurato
Professional summary
Thomas Joseph Assicurato, who also goes by Thomas Joseph Assicuratto, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 55, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Assicurato'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 4, 2006 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286January 9, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
September 29, 2006 - January 9, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
October 29, 2003 - December 5, 2005
SESLIA SECURITIES
December 19, 2002 - October 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 16, 2002 - August 1, 2002
LIGHTSPEED PROFESSIONAL TRADING LLC
January 14, 1993 - June 27, 2001
HERZOG, HEINE, GEDULD, 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
(9/1/2011)
(1/4/2006)
(9/1/2011)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 12/11/1998
Limited Representative-Equity Trader ExamFINRA
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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