Dimitrios N. Stathopoulos
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.
Dimitrios N Stathopoulos, who also goes by Jim Stathopoulos, was a registered financial professional .
Dimitrios is a previously registered financial professional and started their career in finance in 1996. Dimitrios had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, 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 9, 2018 - July 10, 2025
NUVEEN ASSET MANAGEMENT, LLC
January 9, 2018 - July 10, 2025
NUVEEN SECURITIES, LLC
April 21, 2014 - December 12, 2017
NEUBERGER BERMAN BD LLC
April 21, 2014 - December 12, 2017
NEUBERGER BERMAN BD LLC
March 28, 2013 - April 21, 2014
NUVEEN ASSET MANAGEMENT, LLC
December 5, 2011 - March 28, 2013
TRADEWINDS GLOBAL INVESTORS, LLC
September 1, 2011 - December 31, 2011
NUVEEN ASSET MANAGEMENT, LLC
February 27, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
January 24, 2008 - April 21, 2014
NUVEEN SECURITIES, LLC
July 30, 1998 - April 17, 2001
FUNDS DISTRIBUTOR, LLC
January 9, 1997 - May 5, 1998
CHARLES SCHWAB & CO., INC.
July 19, 1996 - December 20, 1996
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
Contact information
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.
