Jeffrey A. Springer
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.
Jeffrey Andrew Springer was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2015 - December 31, 2020
NUVEEN SECURITIES, LLC
February 14, 2011 - May 22, 2015
PIMCO INVESTMENTS LLC
January 14, 2009 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
September 18, 2006 - June 29, 2007
COMMONFUND SECURITIES, INC.
November 21, 1994 - April 11, 1996
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 19, 1994 - November 21, 1994
PACIFIC SELECT DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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