Michael J. Gooch

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 4161145

Professional summary

Michael James Gooch, who also goes by Michael James Gooch, Michael J Gooch, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Los Angeles, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael James Gooch | Michael J Gooch

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Gooch'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

March 30, 2022 - Present

NUVEEN ASSET MANAGEMENT, LLC

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

RIA

CRD#: 155584

Chicago, IL

Current

December 2, 2021 - Present

NUVEEN SECURITIES, LLC

Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067

CRD#: 469

Los Angeles, CA

Past

January 12, 2007 - November 16, 2021

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

January 1, 2005 - January 3, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

April 2, 2003 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

October 17, 2000 - October 26, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 17, 2000 - November 22, 2002

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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

Alabama
(12/2/2021)

Alaska
(12/2/2021)

Arizona
(12/2/2021)

Arkansas
(12/2/2021)

California
(12/2/2021)

Colorado
(12/2/2021)

Connecticut
(12/2/2021)

Delaware
(12/2/2021)

District of Columbia
(12/2/2021)

Florida
(12/2/2021)

Georgia
(12/2/2021)

Hawaii
(12/2/2021)

Idaho
(12/2/2021)

Illinois
(12/2/2021)

IAR

Illinois
(3/30/2022)

Indiana
(12/2/2021)

Iowa
(12/2/2021)

Kansas
(12/2/2021)

Kentucky
(12/2/2021)

Louisiana
(12/2/2021)

Maine
(12/2/2021)

Maryland
(12/2/2021)

Massachusetts
(12/2/2021)

Michigan
(12/2/2021)

Minnesota
(12/2/2021)

Mississippi
(12/2/2021)

Missouri
(12/2/2021)

Montana
(12/2/2021)

Nebraska
(12/2/2021)

Nevada
(12/2/2021)

New Hampshire
(12/2/2021)

New Jersey
(12/2/2021)

New Mexico
(12/2/2021)

New York
(12/2/2021)

North Carolina
(12/2/2021)

North Dakota
(12/2/2021)

Ohio
(12/2/2021)

Oklahoma
(12/2/2021)

Oregon
(12/2/2021)

Pennsylvania
(12/2/2021)

Puerto Rico
(12/2/2021)

Rhode Island
(12/2/2021)

South Carolina
(12/2/2021)

South Dakota
(12/2/2021)

Tennessee
(12/2/2021)

Texas
(12/2/2021)

Utah
(12/2/2021)

Vermont
(12/2/2021)

Virgin Islands
(12/2/2021)

Virginia
(12/2/2021)

Washington
(12/2/2021)

West Virginia
(12/2/2021)

Wisconsin
(12/2/2021)

Wyoming
(12/2/2021)

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 65

Date: 3/29/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/16/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Michael J. Gooch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Gooch's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

FRANKLIN DISTRIBUTORS, LLC

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

NYLIFE SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2022

Series 63

Date: 12/20/2000

SIE

Date: 10/1/2018

Series 7

Date: 4/30/2007

Series 6

Date: 10/16/2000

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

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