AR
Allen J. Rea
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2588496
AR
Professional summary
Allen Jason Rea, CIMA®, who also goes by A J Rea, Allan Jason Rea, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Los Angeles, California.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Allen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A J Rea | Allan Jason Rea
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.
(1) Name: Larkspur Community Foundation / Heatherwood Park (Larkspur, CA) Position: Treasurer Nature: Fundraising for community park. Investment Related: No Hours: 3 Securities Trading Hours: 0 Start Date: 6/15/2012 Address: P.O. Box 43. Larkspur, CA 94977-0043 Description: Bundle donations and expenses to be submitted to the community foundation treasurer on an occasional basis. (2) Name: Twin Cities Little League Position: Board of Directors Nature: Youth Baseball Investment Related: No Hours: 4 Securities Trading Hours: 0 Start Date: 10/5/2021 Address: P.O. Box 279. Corte Madera, CA 94976 Description: Administer registration and safety for league.
CRS (Client Relationship Summary) - RIA
Click below to view Allen Jason Rea'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
May 24, 2024 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
May 15, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067BD
CRD#: 469
Los Angeles, CA
Past
June 25, 2014 - May 7, 2024
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
January 3, 2012 - May 7, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
November 5, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
SAN FRANCISCO, CA
Past
December 5, 2008 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
Past
April 18, 2007 - January 22, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SAN FRANCISCO, CA
Past
December 7, 1995 - September 3, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
April 5, 1995 - November 27, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(5/15/2024)
RR
Alaska(5/15/2024)
RR
Arizona(5/15/2024)
RR
Arkansas(5/15/2024)
RR
California(5/15/2024)
RR
Colorado(5/15/2024)
RR
Connecticut(5/15/2024)
RR
Delaware(5/15/2024)
RR
District of Columbia(5/15/2024)
RR
Florida(5/15/2024)
RR
Georgia(5/15/2024)
RR
Hawaii(5/15/2024)
RR
Idaho(5/15/2024)
RR
Illinois(5/15/2024)
IAR
Illinois(5/24/2024)
RR
Indiana(5/15/2024)
RR
Iowa(5/15/2024)
RR
Kansas(5/15/2024)
RR
Kentucky(5/15/2024)
RR
Louisiana(5/15/2024)
RR
Maine(5/15/2024)
RR
Maryland(5/15/2024)
RR
Massachusetts(5/15/2024)
RR
Michigan(5/15/2024)
RR
Minnesota(5/15/2024)
RR
Mississippi(5/15/2024)
RR
Missouri(5/15/2024)
RR
Montana(5/15/2024)
RR
Nebraska(5/15/2024)
RR
Nevada(5/15/2024)
RR
New Hampshire(5/15/2024)
RR
New Jersey(5/15/2024)
RR
New Mexico(5/15/2024)
RR
New York(5/15/2024)
RR
North Carolina(5/15/2024)
RR
North Dakota(5/15/2024)
RR
Ohio(5/15/2024)
RR
Oklahoma(5/15/2024)
RR
Oregon(5/15/2024)
RR
Pennsylvania(5/15/2024)
RR
Puerto Rico(5/15/2024)
RR
Rhode Island(5/15/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/15/2024)
RR
Tennessee(5/15/2024)
RR
Texas(5/15/2024)
RR
Utah(5/15/2024)
RR
Vermont(5/15/2024)
RR
Virgin Islands(5/15/2024)
RR
Virginia(5/15/2024)
RR
Washington(5/15/2024)
RR
West Virginia(5/15/2024)
RR
Wisconsin(5/15/2024)
RR
Wyoming(5/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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
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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.
