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EK

Eric L. Kurzweg

NUVEEN SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 2772163
EK

Professional summary

Eric Lee Kurzweg is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Minneapolis, Minnesota.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1996. Eric has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Lee Kurzweg's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 3, 2011 - Present

NUVEEN SECURITIES, LLC

Office #1: 901 Marquette Avenue Suite 2900, Minneapolis, MN 55402
BD
CRD#: 469
Minneapolis, MN
Past

February 21, 2008 - January 3, 2011

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 15, 2007 - January 25, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

November 19, 2004 - November 10, 2006

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

August 21, 2003 - February 9, 2004

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

September 21, 2000 - December 31, 2002

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

May 25, 1999 - July 13, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 25, 1999 - July 13, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

March 12, 1999 - October 25, 1999

AMERICAN EXPRESS SERVICE CORPORATION

BD
CRD#: 10518
MINNEAPOLIS, MN
Past

December 4, 1997 - March 22, 1999

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

BD
CRD#: 26506
MINNEAPOLIS, MN
Past

September 3, 1996 - September 4, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 3, 1996 - September 4, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(1/5/2021)
RR
Alaska
(1/5/2021)
RR
Arizona
(1/5/2021)
RR
Arkansas
(1/5/2021)
RR
California
(1/5/2021)
RR
Colorado
(1/5/2021)
RR
Connecticut
(1/5/2021)
RR
Delaware
(1/5/2021)
RR
District of Columbia
(1/5/2021)
RR
Florida
(1/5/2021)
RR
Georgia
(1/5/2021)
RR
Hawaii
(1/5/2021)
RR
Idaho
(1/5/2021)
RR
Illinois
(1/5/2021)
RR
Indiana
(1/5/2021)
RR
Iowa
(1/5/2021)
RR
Kansas
(1/5/2021)
RR
Kentucky
(1/5/2021)
RR
Louisiana
(1/5/2021)
RR
Maine
(1/5/2021)
RR
Maryland
(1/5/2021)
RR
Massachusetts
(1/5/2021)
RR
Michigan
(1/5/2021)
RR
Minnesota
(1/3/2011)
RR
Mississippi
(1/5/2021)
RR
Missouri
(1/5/2021)
RR
Montana
(1/5/2021)
RR
Nebraska
(1/5/2021)
RR
Nevada
(1/5/2021)
RR
New Hampshire
(1/5/2021)
RR
New Jersey
(1/5/2021)
RR
New Mexico
(1/5/2021)
RR
New York
(1/5/2021)
RR
North Carolina
(1/5/2021)
RR
North Dakota
(1/5/2021)
RR
Ohio
(1/6/2021)
RR
Oklahoma
(1/5/2021)
RR
Oregon
(1/5/2021)
RR
Pennsylvania
(1/5/2021)
RR
Puerto Rico
(1/5/2021)
RR
Rhode Island
(1/5/2021)
RR
South Carolina
(1/5/2021)
RR
South Dakota
(1/5/2021)
RR
Tennessee
(1/5/2021)
RR
Texas
(1/5/2021)
RR
Utah
(1/5/2021)
RR
Vermont
(1/5/2021)
RR
Virgin Islands
(1/5/2021)
RR
Virginia
(1/5/2021)
RR
Washington
(1/5/2021)
RR
West Virginia
(1/5/2021)
RR
Wisconsin
(1/5/2021)
RR
Wyoming
(1/5/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/12/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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.

Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469Minneapolis, MN 55402

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