MC
Mark E. Connolly
NUVEEN ASSET MANAGEMENT
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 2824626
MC
Professional summary
Mark Edward Connolly 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.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 6 firms and has passed the Series 66, Series 79TO, SIE, Series 16, 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.
INVEST IN OTHERS; CHARITABLE FOUNDATION; AMPLIFIES CHARITABLE WORK FOR FINANCIAL ADVISERS; MEMBER OF THE BOARD; PARTICIPATE ON A WORKING COMMITTEE; WILL NOT CONFLICT WITH MY RESPONSIBILITIES AT NUVEEN; NO COMPENSATION; START DATE: 4/15/2020.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Edward Connolly'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
May 21, 2010 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017BD
CRD#: 469
New York, NY
Past
May 21, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
June 1, 2009 - June 3, 2010
MORGAN STANLEY
RIA
CRD#: 149777
PURCHASE, NY
Past
June 1, 2009 - June 3, 2010
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 8, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WILMINGTON, DE
Past
November 22, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WILMINGTON, DE
Past
February 22, 2006 - October 26, 2006
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
March 11, 1998 - April 2, 2004
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(5/21/2010)
RR
Alaska(5/21/2010)
RR
Arizona(5/21/2010)
IAR
Arizona(9/1/2011)
RR
Arkansas(5/21/2010)
IAR
Arkansas(9/1/2011)
RR
California(5/21/2010)
IAR
California(9/1/2011)
RR
Colorado(5/21/2010)
RR
Connecticut(5/21/2010)
RR
Delaware(5/21/2010)
RR
District of Columbia(5/21/2010)
RR
Florida(5/21/2010)
RR
Georgia(5/21/2010)
IAR
Georgia(9/1/2011)
RR
Hawaii(5/21/2010)
RR
Idaho(5/21/2010)
RR
Illinois(5/21/2010)
IAR
Illinois(9/1/2011)
RR
Indiana(5/21/2010)
RR
Iowa(5/21/2010)
RR
Kansas(5/21/2010)
RR
Kentucky(5/21/2010)
IAR
Kentucky(9/1/2011)
RR
Louisiana(5/21/2010)
RR
Maine(5/21/2010)
RR
Maryland(5/21/2010)
RR
Massachusetts(5/21/2010)
RR
Michigan(5/21/2010)
RR
Minnesota(5/21/2010)
RR
Mississippi(5/21/2010)
RR
Missouri(5/21/2010)
RR
Montana(5/21/2010)
RR
Nebraska(5/21/2010)
IAR
Nebraska(9/1/2011)
RR
Nevada(5/21/2010)
RR
New Hampshire(5/21/2010)
RR
New Jersey(5/21/2010)
IAR
New Jersey(9/1/2011)
RR
New Mexico(5/21/2010)
RR
New York(5/21/2010)
RR
North Carolina(5/21/2010)
IAR
North Carolina(9/1/2011)
RR
North Dakota(5/21/2010)
IAR
North Dakota(9/1/2011)
RR
Ohio(5/21/2010)
IAR
Ohio(9/1/2011)
RR
Oklahoma(5/21/2010)
IAR
Oklahoma(9/1/2011)
RR
Oregon(5/21/2010)
RR
Pennsylvania(5/21/2010)
RR
Puerto Rico(5/21/2010)
RR
Rhode Island(5/21/2010)
RR
South Carolina(5/21/2010)
RR
South Dakota(5/21/2010)
RR
Tennessee(5/21/2010)
RR
Texas(5/21/2010)
IAR
Texas(9/1/2011)
RR
Utah(5/21/2010)
RR
Vermont(5/21/2010)
RR
Virgin Islands(5/21/2010)
RR
Virginia(5/21/2010)
RR
Washington(5/21/2010)
RR
West Virginia(5/21/2010)
RR
Wisconsin(5/21/2010)
RR
Wyoming(5/21/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product 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
Registered Investment Advisory firm - (11/24/2010 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
