ED
Edward J. De Arcos
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
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CRD#: 4192690
ED
Professional summary
Edward Joseph De Arcos, CFP®, CIMA®, who also goes by Edward J. De Arcos, Edward J De Arcos, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Palmetto Bay, Florida.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Edward has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Edward J. De Arcos | Edward J De Arcos
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) Name: Archdiocese of Miami Position: Board of Directors/Finance Committee Nature: Devoted to organization Investment Related: Yes Hours: 2 hrs/quarter Securities trading hours: NO Start date: 08/01/2017 Address: 9401 Biscayne Blvd, Miami Shores, FL 33138 Description: THE ORGANIZATION IS A RELIGIOUS TAX EXEMPT ORGANIZATION (2) Name: Wings for Widows Position: Coach Nature: provide a pro bono financial wellness check to widow(er)s Investment Related: No, financial planning on getting organized Hours: 2 hours/month Securities trading hours: NO Start date: 12/31/2023 Address: 290 Peavey Rd., Wayzata, MN 55391 Description: Wings for Widows coaching is a non-profit, volunteer organization
CRS (Client Relationship Summary) - RIA
Click below to view Edward Joseph De Arcos'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®
Experience
Current
August 1, 2024 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
July 30, 2024 - Present
NUVEEN SECURITIES, LLC
BD
CRD#: 469
Palmetto Bay, FL
Past
June 6, 2008 - January 16, 2024
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
Miami, FL
Past
June 6, 2008 - January 16, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
March 21, 2001 - June 2, 2008
RITTENHOUSE ASSET MANAGEMENT, INC.
RIA
CRD#: 106562
RADNOR, PA
Past
July 11, 2000 - May 30, 2008
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, 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(11/20/2024)
RR
Alaska(11/20/2024)
RR
Arizona(11/20/2024)
RR
Arkansas(11/20/2024)
RR
California(11/20/2024)
RR
Colorado(11/20/2024)
RR
Connecticut(11/20/2024)
RR
Delaware(11/20/2024)
RR
District of Columbia(11/20/2024)
RR
Florida(11/20/2024)
RR
Georgia(11/20/2024)
RR
Hawaii(11/20/2024)
RR
Idaho(11/20/2024)
IAR
Illinois(8/1/2024)
RR
Illinois(11/20/2024)
RR
Indiana(11/20/2024)
RR
Iowa(11/20/2024)
RR
Kansas(11/20/2024)
RR
Kentucky(11/20/2024)
RR
Louisiana(11/20/2024)
RR
Maine(11/20/2024)
RR
Maryland(11/20/2024)
RR
Massachusetts(11/20/2024)
RR
Michigan(11/20/2024)
RR
Minnesota(11/20/2024)
RR
Mississippi(11/20/2024)
RR
Missouri(11/20/2024)
RR
Montana(11/20/2024)
RR
Nebraska(11/20/2024)
RR
Nevada(11/20/2024)
RR
New Hampshire(11/20/2024)
RR
New Jersey(11/20/2024)
RR
New Mexico(11/20/2024)
RR
New York(11/20/2024)
RR
North Carolina(11/20/2024)
RR
North Dakota(11/20/2024)
RR
Ohio(7/30/2024)
RR
Oklahoma(11/20/2024)
RR
Oregon(11/20/2024)
RR
Pennsylvania(11/20/2024)
RR
Puerto Rico(11/20/2024)
RR
Rhode Island(11/20/2024)
RR
South Carolina(11/20/2024)
RR
South Dakota(11/20/2024)
RR
Tennessee(11/20/2024)
RR
Texas(11/20/2024)
RR
Utah(11/20/2024)
RR
Vermont(11/20/2024)
RR
Virgin Islands(11/20/2024)
RR
Virginia(11/20/2024)
RR
Washington(11/20/2024)
RR
West Virginia(11/20/2024)
RR
Wisconsin(11/20/2024)
RR
Wyoming(11/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
Registered Investment Advisory firm - (11/24/2010 Approved)Upgrade to AdvisorCheck Premium
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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.
