AG
Anthony L. Guerdet
NUVEEN ASSET MANAGEMENT
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 3254399
AG
Professional summary
Anthony Leo Guerdet, who also goes by Tony Leo Guerdet, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Anthony has worked at 5 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Leo Guerdet
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.
RENT 80 ACRES OF FARMLAND; NOT INVESTMENT RELATED; BUSINESS IS REAL ESTATE; I'M THE OWNER; WILL NOT CONFLICT WITH MY DUTIES AT NUVEEN; APPROXIMATELY 1 HOUR MONTH; 3/2015 - 2/2016.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Leo Guerdet's 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®
NoneExperience
Current
September 1, 2011 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
CHICAGO, IL
Current
February 8, 2007 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286BD
CRD#: 469
Chicago, IL
Past
February 28, 2007 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
September 20, 2006 - January 12, 2007
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
OAK LAWN, IL
Past
September 14, 2006 - January 12, 2007
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
OAK LAWN, IL
Past
September 21, 2000 - September 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCHAUMBURG, IL
Past
August 24, 2000 - September 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCHAUMBURG, IL
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".
NA
NUVEEN ASSET MANAGEMENT, LLC
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.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
Alabama(9/26/2014)
RR
Alaska(9/26/2014)
RR
Arizona(9/26/2014)
RR
Arkansas(2/8/2007)
IAR
Arkansas(9/1/2011)
RR
California(9/26/2014)
RR
Colorado(9/26/2014)
RR
Connecticut(9/26/2014)
RR
Delaware(9/26/2014)
RR
District of Columbia(9/26/2014)
RR
Florida(9/26/2014)
RR
Georgia(9/26/2014)
RR
Hawaii(9/26/2014)
RR
Idaho(9/26/2014)
RR
Illinois(9/26/2014)
RR
Indiana(9/26/2014)
RR
Iowa(9/26/2014)
RR
Kansas(9/26/2014)
RR
Kentucky(9/26/2014)
RR
Louisiana(9/26/2014)
RR
Maine(9/26/2014)
RR
Maryland(9/26/2014)
RR
Massachusetts(9/26/2014)
RR
Michigan(9/26/2014)
RR
Minnesota(9/26/2014)
RR
Mississippi(9/26/2014)
RR
Missouri(9/26/2014)
RR
Montana(9/26/2014)
RR
Nebraska(9/26/2014)
RR
Nevada(9/26/2014)
RR
New Hampshire(9/26/2014)
RR
New Jersey(9/26/2014)
RR
New Mexico(9/26/2014)
RR
New York(9/26/2014)
RR
North Carolina(9/29/2014)
RR
North Dakota(9/26/2014)
RR
Ohio(9/29/2014)
RR
Oklahoma(2/8/2007)
RR
Oregon(9/26/2014)
RR
Pennsylvania(9/26/2014)
RR
Puerto Rico(9/26/2014)
RR
Rhode Island(9/26/2014)
RR
South Carolina(9/26/2014)
RR
South Dakota(9/26/2014)
RR
Tennessee(9/26/2014)
RR
Texas(2/8/2007)
IAR
Texas(9/1/2011)
RR
Utah(9/26/2014)
RR
Vermont(9/26/2014)
RR
Virgin Islands(9/26/2014)
RR
Virginia(9/26/2014)
RR
Washington(9/26/2014)
RR
West Virginia(9/26/2014)
RR
Wisconsin(9/26/2014)
RR
Wyoming(9/26/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
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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)
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.
