KF
Kevin P. Farrell
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
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CRD#: 2849978
KF
Professional summary
Kevin Peter Farrell, CIMA®, who also goes by Kevin Peter Farrell, Kevin P Farrell, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in San Francisco, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Peter Farrell | Kevin P Farrell
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.
(1) Name: 4 Brothers ACK, LLC Position: Member Nature: LLC to acquire property for use and rent between LLC members Investment Related: NO Hours: 2 Securities Trading Hours: 0 Start Date: 9/25/2023 Address: 30 Tashama Ln, Nantucket, MA 02554 Description: Contact person for our listing agent. Responsible for approving rental inquiries. (2) Name: Frank Pepe's Development Company Position: Member Nature: LLC to acquire property for use and rent between LLC members Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 01/01/2005 Address: 453 N Main St, Southington, CT 06489 Description: No job responsibilities. We are investors in the LLC with no involvement with management.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Peter Farrell'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®
Experience
Current
August 26, 2024 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
April 12, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 560 Mission Street, San Francisco, CA 94105BD
CRD#: 469
SAN FRANCISCO, CA
Past
February 28, 2002 - January 16, 2024
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
ATLANTA, GA
Past
August 7, 2000 - March 1, 2002
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
SEATTLE, WA
Past
May 21, 1997 - June 26, 2000
BOSTON CAPITAL SECURITIES, INC.
BD
CRD#: 14611
BOSTON, MA
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(4/16/2024)
RR
Alaska(4/15/2024)
RR
Arizona(4/26/2024)
RR
Arkansas(4/23/2024)
RR
California(4/22/2024)
RR
Colorado(4/16/2024)
RR
Connecticut(4/15/2024)
RR
Delaware(4/23/2024)
RR
District of Columbia(4/25/2024)
RR
Florida(4/15/2024)
RR
Georgia(4/15/2024)
RR
Hawaii(4/16/2024)
RR
Idaho(4/12/2024)
RR
Illinois(4/30/2024)
IAR
Illinois(8/26/2024)
RR
Indiana(4/17/2024)
RR
Iowa(4/15/2024)
RR
Kansas(4/15/2024)
RR
Kentucky(4/22/2024)
RR
Louisiana(4/16/2024)
RR
Maine(4/16/2024)
RR
Maryland(4/19/2024)
RR
Massachusetts(4/16/2024)
RR
Michigan(4/16/2024)
RR
Minnesota(4/15/2024)
RR
Mississippi(4/17/2024)
RR
Missouri(4/12/2024)
RR
Montana(4/15/2024)
RR
Nebraska(4/12/2024)
RR
Nevada(4/15/2024)
RR
New Hampshire(4/16/2024)
RR
New Jersey(4/15/2024)
RR
New Mexico(4/16/2024)
RR
New York(4/15/2024)
RR
North Carolina(4/15/2024)
RR
North Dakota(4/22/2024)
RR
Ohio(4/12/2024)
RR
Oklahoma(4/16/2024)
RR
Oregon(4/17/2024)
RR
Pennsylvania(4/15/2024)
RR
Puerto Rico(4/29/2024)
RR
Rhode Island(4/16/2024)
RR
South Carolina(4/16/2024)
RR
South Dakota(5/17/2024)
RR
Tennessee(4/15/2024)
RR
Texas(4/12/2024)
RR
Utah(4/12/2024)
RR
Vermont(4/15/2024)
RR
Virgin Islands(4/17/2024)
RR
Virginia(4/16/2024)
RR
Washington(4/16/2024)
RR
West Virginia(4/22/2024)
RR
Wisconsin(4/16/2024)
RR
Wyoming(4/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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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.
