Christopher A. Davis

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 3155497

Professional summary

Christopher Alan Davis, who also goes by Chris A Davis, Chris Alan Davis, Christopher Alan Davis, Chris Davis, 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.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 9 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris A Davis | Chris Alan Davis | Christopher Alan Davis | Chris Davis

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) Chris Davis is an Managing Director - Global Business Development - US Consultant Relations & Sales FOR Barings LLC , SEC REGISTERED INVESTMENT ADVISER LOCATED AT 300 S. Tryon Avenue, Charlotte, NC. ABOUT 75% OF TIME IS DEDICATED TO THIS ACTIVITY WHICH BEGAN ON Sept. 2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan Davis'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

October 16, 2024 - Present

NUVEEN ASSET MANAGEMENT, LLC

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

RIA

CRD#: 155584

Chicago, IL

Current

September 26, 2024 - Present

NUVEEN SECURITIES, LLC

Office #1: 375 Park Avenue, New York, NY 10152

CRD#: 469

New York, NY

Past

September 29, 2022 - May 9, 2024

BARINGS SECURITIES LLC

CRD#: 36929

CHARLOTTE, NC

Past

March 15, 2021 - August 24, 2022

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Mill City, CA

Past

November 18, 2020 - November 10, 2022

ADVISORY RESEARCH INC

RIA

CRD#: 108254

Mill Valley, CA

Past

July 23, 2014 - August 26, 2020

ALLIANZ GLOBAL INVESTORS U.S. LLC

RIA

CRD#: 149003

SAN FRANCISCO, CA

Past

June 17, 2014 - July 1, 2020

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

SAN FRANCISCO, CA

Past

June 9, 2005 - November 2, 2005

FISHER INVESTMENTS

RIA

CRD#: 107342

WOODSIDE, CA

Past

September 27, 2002 - February 24, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BEVERLY HILLS, CA

Past

September 23, 2002 - February 24, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

California
(9/26/2024)

IAR

Illinois
(10/16/2024)

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 66

Date: 7/18/2014

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: 11/3/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/17/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher A. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

BARINGS SECURITIES LLC

FORESIDE FINANCIAL SERVICES, LLC

ADVISORY RESEARCH INC

ALLIANZ GLOBAL INVESTORS U.S. LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

FISHER INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2014

SIE

Date: 10/1/2018

Series 3

Date: 11/3/2014

Series 7

Date: 6/17/2014

Series 24

Date: 7/12/2021

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

Similar Advisors