JC
Jeffrey D. Carlin
NUVEEN ASSET MANAGEMENT
CHICAGO, IL 60606
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CRD#: 2684780
JC
Professional summary
Jeffrey Dennis Carlin is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Boston, Massachusetts.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 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.
INVESTMENT MANAGEMENT CONSULTANT ASSOCIATION, 5619 DTC PARKWAY, STE. 500, GREENWOOD VILLAGE, CO., BOARD OF DIRECTORS AND MEMEBER OF INVESTMENT COMMITTEE, 1/1/2008, HOURS PER MONTH 3, HOURS DURING TRADING 0, NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Dennis Carlin'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
August 6, 2010 - Present
NUVEEN SECURITIES, LLC
Office #1: 100 Federal Street, Boston, MA 02110Office #2: 560 Mission Street, San Francisco, CA 94105BD
CRD#: 469
Boston, MA
Past
August 6, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
March 16, 2009 - July 15, 2010
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
October 26, 2007 - February 6, 2009
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
Past
May 12, 2003 - February 6, 2009
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SAN FRANCISCO, CA
Past
March 5, 1998 - December 12, 2002
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(8/6/2010)
RR
Alaska(8/6/2010)
RR
Arizona(8/6/2010)
IAR
Arizona(9/1/2011)
RR
Arkansas(8/6/2010)
IAR
Arkansas(9/1/2011)
RR
California(8/6/2010)
IAR
California(9/1/2011)
RR
Colorado(8/6/2010)
RR
Connecticut(8/6/2010)
RR
Delaware(8/6/2010)
RR
District of Columbia(8/6/2010)
RR
Florida(8/6/2010)
RR
Georgia(8/6/2010)
IAR
Georgia(9/1/2011)
RR
Hawaii(8/6/2010)
RR
Idaho(8/6/2010)
RR
Illinois(8/6/2010)
IAR
Illinois(9/1/2011)
RR
Indiana(8/6/2010)
RR
Iowa(8/6/2010)
RR
Kansas(8/6/2010)
RR
Kentucky(8/6/2010)
IAR
Kentucky(9/1/2011)
RR
Louisiana(8/6/2010)
RR
Maine(8/6/2010)
RR
Maryland(8/6/2010)
RR
Massachusetts(8/6/2010)
RR
Michigan(8/6/2010)
RR
Minnesota(8/6/2010)
RR
Mississippi(8/6/2010)
RR
Missouri(8/6/2010)
RR
Montana(8/6/2010)
RR
Nebraska(8/6/2010)
IAR
Nebraska(9/1/2011)
RR
Nevada(8/6/2010)
RR
New Hampshire(8/6/2010)
RR
New Jersey(8/6/2010)
IAR
New Jersey(9/1/2011)
RR
New Mexico(8/6/2010)
RR
New York(8/6/2010)
RR
North Carolina(8/13/2010)
IAR
North Carolina(9/1/2011)
RR
North Dakota(8/6/2010)
IAR
North Dakota(9/1/2011)
RR
Ohio(8/6/2010)
IAR
Ohio(9/1/2011)
RR
Oklahoma(8/6/2010)
RR
Oregon(8/6/2010)
RR
Pennsylvania(8/6/2010)
RR
Puerto Rico(8/6/2010)
RR
Rhode Island(8/6/2010)
RR
South Carolina(8/6/2010)
RR
South Dakota(8/6/2010)
RR
Tennessee(8/6/2010)
RR
Texas(8/6/2010)
IAR
Texas(9/1/2011)
RR
Utah(8/6/2010)
RR
Vermont(8/6/2010)
RR
Virgin Islands(8/6/2010)
RR
Virginia(8/6/2010)
RR
Washington(8/6/2010)
RR
West Virginia(8/6/2010)
RR
Wisconsin(8/6/2010)
RR
Wyoming(8/6/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
