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Dona A. Nastasi

NUVEEN SECURITIES
Chicago, IL 60606-1286
Some features on this profile are disabled
CRD#: 3101762
DN

Professional summary

Dona Ann Nastasi, who also goes by Dona Ann Nastasi, Dona Nastasi, Dona Ann Nastasiensminger, Dona A Nastasi, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.

Dona is registered as a RR (Registered Representative) and started their career in finance in 1998. Dona has worked at 11 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 82TO, Series 22TO, SIE, Series 7, Series 6, Series 14, Series 39, Series 26, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dona Ann Nastasi | Dona Nastasi | Dona Ann Nastasiensminger | Dona A Nastasi

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 Dona Ann Nastasi'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

May 28, 2025 - Present

NUVEEN SECURITIES, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286
BD
CRD#: 469
Chicago, IL
Past

October 13, 2024 - April 17, 2025

AQUAS FINANCIAL, LLC

BD
CRD#: 311274
Plano, TX
Past

March 18, 2022 - August 13, 2024

TCBI SECURITIES, INC.

BD
CRD#: 313304
DALLAS, TX
Past

October 15, 2013 - January 5, 2022

BBVA SECURITIES INC.

BD
CRD#: 27060
PLANO, TX
Past

February 8, 2010 - July 24, 2013

MOMENTUM INDEPENDENT NETWORK INC.

RIA
CRD#: 17587
DALLAS, TX
Past

December 2, 2009 - July 24, 2013

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

October 28, 2009 - December 8, 2009

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
METAIRIE, LA
Past

April 10, 2007 - October 9, 2009

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
IRVING, TX
Past

May 4, 2006 - February 1, 2007

SECURITIES AMERICA, INC.

BD
CRD#: 10205
HURST, TX
Past

December 14, 2004 - March 18, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

September 9, 2003 - December 14, 2004

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

August 27, 1998 - August 19, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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
Texas
(5/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/26/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/2/2023
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/21/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/8/2008
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#: 469Chicago, IL 60606-1286

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