Raymond J. Urban
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.
Raymond John Urban was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1995. Raymond had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
January 4, 2013 - December 2, 2020
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
September 1, 2011 - December 2, 2020
NUVEEN ASSET MANAGEMENT, LLC
February 6, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
March 19, 2003 - January 27, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
March 11, 2003 - December 2, 2020
NUVEEN SECURITIES, LLC
January 12, 2001 - May 8, 2002
DEAM INVESTOR SERVICES, INC.
June 30, 1995 - January 22, 1996
KROLL SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 121876 / SEC#: 801-61379
Contact information
Red Flags
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