Kenneth G. Roedel
Professional summary
Kenneth George Roedel, CFP®, who also goes by Kenneth George Roedel, Kenneth Roedel, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Los Angeles, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth George Roedel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2021 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606April 6, 2021 - Present
NUVEEN SECURITIES, LLC
Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067September 1, 2011 - January 21, 2020
NUVEEN ASSET MANAGEMENT, LLC
July 16, 2001 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
July 16, 2001 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
November 10, 1998 - January 15, 2020
NUVEEN SECURITIES, LLC
October 31, 1996 - October 8, 1998
STRONG INVESTMENTS, 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
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Exams
FINRA
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.
