Nicholas Malcolm Henry
Professional Summary
Nicholas Malcolm Henry, who also goes by Nicholas Henry, Nick Henry, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois. Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nicholas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas Henry, Nick Henry
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Current Firm
NUVEEN ASSET MANAGEMENT, LLC
Contact Information
Main Address
333 West Wacker Drive, Chicago, IL 60606Phone Number
(312) 917-7700# of Employees
381SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
65,258AUM (Assets Under Management)
$280,484,645,970Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2026 | Cover Page | Report |
| 11/21/2025 | Cover Page | Report |
| 12/19/2024 | Cover Page | Report |
| 12/15/2023 | Cover Page | Report |
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(10/31/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/3/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(1/21/2026)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
(7/2/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Malcolm Henry's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.