Erik P. Mogavero

NUVEEN SECURITIES

New York, NY 10017

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CRD#: 2540210

Professional summary

Erik Peter Mogavero, who also goes by Erik Mogavero, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.

Erik is registered as a RR (Registered Representative) and started their career in finance in 1995. Erik has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Erik Mogavero

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 Erik Peter Mogavero'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 1, 2017 - Present

NUVEEN SECURITIES, LLC

Office #1: 730 Third Ave, New York, NY 10017

CRD#: 469

New York, NY

Past

May 13, 2013 - August 16, 2017

DWS DISTRIBUTORS, INC.

CRD#: 37306

NEW YORK, NY

Past

April 4, 2011 - April 23, 2013

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

October 1, 2007 - April 8, 2011

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 19, 2000 - October 1, 2007

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

Past

October 31, 1997 - November 25, 1998

OCC DISTRIBUTORS LLC

CRD#: 18541

NEW YORK, NY

Past

March 16, 1995 - November 26, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

State Registrations and Notice Filings

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

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

Illinois
(9/1/2017)

New York
(9/1/2017)

Exams

State Security Law Exam

Series 63

Date: 7/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/13/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER
CARLIN, JEFFREY DENNIS	CHIEF EXECUTIVE OFFICER	2684780
MANGANO, JENNIFER LYNN	CHIEF FINANCIAL OFFICER	7659359
SATRE, LUCAS ARTHUR	GENERAL COUNSEL	2208099
SMITH, SHANITA SPIVEY	CHIEF COMPLIANCE OFFICER	5174146

Disclosures

Regulatory Event	7
Civil Event	2
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Erik P. Mogavero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Peter Mogavero's CRS (Customer Relationship Summary).

Certified licenses

Experience

DWS DISTRIBUTORS, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

GOLDMAN SACHS & CO. LLC

PINEBRIDGE SECURITIES LLC

OCC DISTRIBUTORS LLC

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1995

Series 24

Date: 7/13/2000

FINRA

Current Firm

NUVEEN SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NUVEEN SECURITIES, LLC

TRUST BUT VERIFY

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