Nicholas C. Liberi

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 2988087

Professional summary

Nicholas Charles Liberi, who also goes by Nicholas Charles Liberi, Nicholas Liberi, Nicholas C Liberi, 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.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Nicholas has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Charles Liberi | Nicholas Liberi | Nicholas C Liberi

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) - RIA

Click below to view Nicholas Charles Liberi'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

August 1, 2022 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606

RIA

CRD#: 155584

Chicago, IL

Current

July 28, 2022 - Present

NUVEEN SECURITIES, LLC

Office #1: 730 Third Ave, New York, NY 10017

CRD#: 469

New York, NY

Past

October 14, 2014 - March 14, 2022

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

CARMEL, IN

Past

October 13, 2014 - March 14, 2022

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

CARMEL, IN

Past

August 7, 2013 - September 23, 2014

EQUINOX FUND MANAGEMENT, LLC

RIA

CRD#: 143730

DENVER, CO

Past

September 15, 2011 - September 23, 2014

TRIVE NEW YORK LLC

CRD#: 21946

PRINCETON, NJ

Past

March 29, 2011 - August 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

March 29, 2011 - August 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

Past

January 7, 2010 - July 29, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SHREWSBURY, NJ

Past

November 23, 2009 - July 29, 2010

MORGAN STANLEY

CRD#: 149777

SHREWSBURY, NJ

Past

November 5, 2007 - November 28, 2008

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

December 11, 2006 - September 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

EDISON, NJ

Past

December 11, 2006 - September 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

EDISON, NJ

Past

December 5, 2003 - June 7, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RED BANK, NJ

Past

September 30, 2003 - June 7, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

RED BANK, NJ

Past

December 20, 2002 - February 4, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 4, 1999 - December 17, 2002

CITIGROUP GLOBAL MARKETS INC.

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".

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.

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

Alabama
(7/28/2022)

Alaska
(7/28/2022)

Arizona
(7/28/2022)

Arkansas
(7/28/2022)

California
(7/28/2022)

Colorado
(7/28/2022)

Connecticut
(7/28/2022)

Delaware
(7/28/2022)

District of Columbia
(7/28/2022)

Florida
(7/28/2022)

Georgia
(7/28/2022)

Hawaii
(7/28/2022)

Idaho
(7/28/2022)

Illinois
(7/28/2022)

IAR

Illinois
(8/1/2022)

Indiana
(7/28/2022)

Iowa
(7/28/2022)

Kansas
(7/28/2022)

Kentucky
(7/28/2022)

Louisiana
(7/28/2022)

Maine
(7/28/2022)

Maryland
(7/28/2022)

Massachusetts
(7/28/2022)

Michigan
(7/28/2022)

Minnesota
(7/28/2022)

Mississippi
(7/28/2022)

Missouri
(7/28/2022)

Montana
(7/28/2022)

Nebraska
(7/28/2022)

Nevada
(7/28/2022)

New Hampshire
(7/28/2022)

New Jersey
(7/28/2022)

New Mexico
(7/28/2022)

New York
(7/28/2022)

North Carolina
(7/28/2022)

North Dakota
(7/28/2022)

Ohio
(7/28/2022)

Oklahoma
(7/28/2022)

Oregon
(7/28/2022)

Pennsylvania
(7/28/2022)

Puerto Rico
(7/28/2022)

Rhode Island
(7/28/2022)

South Carolina
(7/28/2022)

South Dakota
(7/28/2022)

Tennessee
(7/28/2022)

Texas
(7/28/2022)

Utah
(7/28/2022)

Vermont
(7/28/2022)

Virgin Islands
(7/28/2022)

Virginia
(7/28/2022)

Washington
(7/28/2022)

West Virginia
(7/28/2022)

Wisconsin
(7/28/2022)

Wyoming
(7/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NUVEEN ASSET MANAGEMENT, LLC FORM ADV PART 2A (3/21/2025)

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	Cover Page	Report
12/19/2024	Cover Page	Report
12/15/2023	Cover Page	Report
12/15/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas C. Liberi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Charles Liberi's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

EQUINOX FUND MANAGEMENT, LLC

TRIVE NEW YORK LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2003

Series 63

Date: 7/8/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/3/1999

FINRA

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NUVEEN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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