PB
Paul A. Bartony
NUVEEN ASSET MANAGEMENT
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 2666151
PB
Professional summary
Paul Andrew Bartony is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in New York, New York.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Andrew Bartony'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®
NoneExperience
Current
September 1, 2011 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
CHICAGO, IL
Current
July 26, 2011 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017BD
CRD#: 469
New York, NY
Past
July 26, 2011 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
January 30, 2008 - June 15, 2011
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
ANDOVER, MA
Past
August 4, 2006 - January 29, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
ANDOVER, MA
Past
October 5, 1999 - June 15, 2011
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, MA
Past
October 9, 1995 - December 11, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 9, 1995 - December 11, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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(7/26/2011)
RR
Alaska(7/26/2011)
RR
Arizona(7/26/2011)
IAR
Arizona(9/1/2011)
RR
Arkansas(7/26/2011)
IAR
Arkansas(9/1/2011)
RR
California(7/26/2011)
IAR
California(9/1/2011)
RR
Colorado(7/26/2011)
RR
Connecticut(7/26/2011)
RR
Delaware(7/26/2011)
RR
District of Columbia(7/26/2011)
RR
Florida(7/26/2011)
RR
Georgia(7/26/2011)
IAR
Georgia(9/1/2011)
RR
Hawaii(7/26/2011)
RR
Idaho(7/26/2011)
RR
Illinois(7/26/2011)
IAR
Illinois(9/1/2011)
RR
Indiana(7/26/2011)
RR
Iowa(7/26/2011)
RR
Kansas(7/26/2011)
RR
Kentucky(7/26/2011)
IAR
Kentucky(9/1/2011)
RR
Louisiana(7/26/2011)
RR
Maine(7/26/2011)
RR
Maryland(7/26/2011)
RR
Massachusetts(7/26/2011)
IAR
Massachusetts(9/1/2011)
RR
Michigan(7/26/2011)
IAR
Michigan(9/1/2011)
RR
Minnesota(7/26/2011)
RR
Mississippi(7/26/2011)
RR
Missouri(7/26/2011)
RR
Montana(7/26/2011)
RR
Nebraska(7/26/2011)
IAR
Nebraska(9/1/2011)
RR
Nevada(7/26/2011)
RR
New Hampshire(7/26/2011)
RR
New Jersey(7/26/2011)
IAR
New Jersey(9/1/2011)
RR
New Mexico(7/26/2011)
RR
New York(7/26/2011)
RR
North Carolina(7/26/2011)
IAR
North Carolina(9/1/2011)
RR
North Dakota(7/26/2011)
IAR
North Dakota(9/1/2011)
RR
Ohio(7/26/2011)
IAR
Ohio(9/1/2011)
RR
Oklahoma(7/26/2011)
IAR
Oklahoma(9/1/2011)
RR
Oregon(7/26/2011)
RR
Pennsylvania(7/26/2011)
IAR
Pennsylvania(9/1/2011)
RR
Puerto Rico(7/26/2011)
RR
Rhode Island(7/26/2011)
RR
South Carolina(7/26/2011)
RR
South Dakota(7/26/2011)
RR
Tennessee(7/26/2011)
RR
Texas(7/26/2011)
IAR
Texas(9/1/2011)
RR
Utah(7/26/2011)
RR
Vermont(7/26/2011)
RR
Virgin Islands(7/26/2011)
RR
Virginia(7/26/2011)
RR
Washington(7/26/2011)
RR
West Virginia(7/26/2011)
RR
Wisconsin(7/26/2011)
RR
Wyoming(7/26/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
