Anne M. Finley Kessler
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.
Anne Mary Finley Kessler, who also goes by Anne M Finley, Anne Mary Finley, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1999. Anne had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - October 2, 2024
NUVEEN ASSET MANAGEMENT, LLC
April 8, 2011 - October 2, 2024
NUVEEN SECURITIES, LLC
March 1, 2011 - March 16, 2011
OAK RIDGE INVESTMENTS, LLC
January 27, 2011 - March 24, 2011
AMUNDI DISTRIBUTOR US, INC.
July 8, 1999 - March 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1999 - March 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/19/2024 | ||
| 12/15/2023 | ||
| 12/15/2022 |
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.
