Daniel Roach

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CRD#: 3114794

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Roach, who also goes by Daniel A Roach, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.

Aliases

Daniel A Roach

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.

PASSIVE PARTIAL OWNER OF BAHN MI, LLC 900 19 ST NW, WASHINGTON, DC NOT AN INVESTMENT RELATED ACTIVITY EFFECTIVE DATE: 10/31/2012 DEVOTE ZERO HOURS PER WEEK TO THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 24, 2025 - July 9, 2026

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

November 5, 2021 - July 9, 2026

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

October 18, 2011 - September 23, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Charlottesville, VA

Past

October 18, 2011 - September 23, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

Charlottesville, VA

Past

December 14, 2006 - September 29, 2011

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

YAKIMA, WA

Past

December 14, 2006 - September 29, 2011

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

YAKIMA, WA

Past

June 14, 2004 - December 7, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SUMMIT, NJ

Past

June 11, 2004 - December 7, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SUMMIT, NJ

Past

December 17, 2001 - June 11, 2004

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/14/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/14/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/23/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/10/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/15/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 2/13/2002

Registered Options Principal Examination

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

Daniel Roach

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NUVEEN SECURITIES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST CLEARING, LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2002

SIE

Date: 10/1/2018

Series 3

Date: 11/14/2006

Series 7

Date: 12/14/2001

Series 24

Date: 1/23/2012

Series 10

Date: 5/10/2005

Series 9

Date: 4/15/2004

Series 4

Date: 2/13/2002

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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