Michael C. Spangler

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 4163763

Professional summary

Michael Charles Spangler, who also goes by Michael C Spangler, Michael Charles Spangler, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.

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 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael C Spangler | Michael Charles Spangler

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) CHARLOTTE RISE FC POSITION: W9 employee NATURE: Soccer club formed for the education and development of youth in the game of soccer INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: Home Address, Charlotte NC 28226, United States DESCRIPTION: Soccer club formed for the education and development of youth in the game of soccer (2) CHARLOTTE COUNTRY DAY SCHOOL POSITION: Coaching NATURE: Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 08/07/2023 ADDRESS: 1440 Carmel Road, Charlotte NC 28226, United States DESCRIPTION: Assistant JV Coach for Girls Volleyball

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Spangler'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 24, 2025 - Present

NUVEEN ASSET MANAGEMENT, LLC

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

RIA

CRD#: 155584

Chicago, IL

Current

November 5, 2021 - Present

NUVEEN SECURITIES, LLC

Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262

CRD#: 469

Charlotte, NC

Past

May 15, 2018 - September 23, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

May 15, 2018 - September 23, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

November 5, 2009 - May 7, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

November 5, 2009 - May 7, 2018

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 1, 2008 - January 20, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

December 1, 2008 - January 20, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

September 28, 2005 - September 18, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

May 22, 2002 - September 18, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

November 27, 2001 - January 18, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 2, 2000 - November 28, 2001

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, 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

IAR

Illinois
(10/24/2025)

North Carolina
(9/23/2025)

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: 2/28/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/2004

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)

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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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Michael C. Spangler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Spangler's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NEW ENGLAND SECURITIES

HARRISDIRECT LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2005

Series 63

Date: 6/28/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2000

Series 24

Date: 3/12/2004

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

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