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For Advisors
CF

Christopher T. Freeze

NUVEEN SECURITIES
New York, NY 10152
Some features on this profile are disabled
CRD#: 2485877
CF

Professional summary

Christopher Thomas Freeze, who also goes by Chris Freeze, Christopher Thomas Freeze, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 7 firms and has passed the Series 66, Series 63, Series 65, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 4, Series 53, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Freeze | Christopher Thomas Freeze

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) - BD

Click below to view Christopher Thomas Freeze'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

September 10, 2022 - Present

NUVEEN SECURITIES, LLC

Office #1: 375 Park Avenue, New York, NY 10152
BD
CRD#: 469
New York, NY
Past

October 26, 2011 - September 16, 2020

TCG SECURITIES, L.L.C.

BD
CRD#: 154788
NEW YORK, NY
Past

November 28, 2007 - September 23, 2011

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

November 27, 2007 - September 23, 2011

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 30, 2006 - January 13, 2010

CREDIT SUISSE PRIVATE ADVISORS AG

RIA
CRD#: 112892
ZURICH,
Past

July 13, 2005 - January 13, 2010

CREDIT SUISSE PRIVATE ADVISORS AG

BD
CRD#: 112892
ZURICH,
Past

December 9, 2003 - January 21, 2005

AMERICAN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 44803
NEW YORK, NY
Past

October 16, 2000 - April 28, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 13, 1997 - November 2, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

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
New York
(9/10/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/21/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/2/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/24/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/10/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/23/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/15/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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 SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469New York, NY 10152

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