James P. Farrar

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 4316030

Professional summary

James Patrick Farrar, CFP®, who also goes by J P Farrar, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J P Farrar

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.

HUCK FINN PROPERTIES LLC CHICAGO, IL LLC FOR RENTAL PROPERTY. STARTED 2007 AND NO END DATE. HAVE MGMT CO TO MANAGE PROPERTIES AND I CHECK MONTHLY THE INCOME STATEMENT/BALANCE SHEET.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Farrar'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®

CFP^®

Certified Financial Planner

Experience

Current

April 11, 2016 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606

RIA

CRD#: 155584

Chicago, IL

Current

April 11, 2016 - Present

NUVEEN SECURITIES, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286Office #2: 730 Third Ave, New York, NY 10017

CRD#: 469

Chicago, IL

Past

September 2, 2005 - March 23, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

CHICAGO, IL

Past

September 2, 2005 - March 23, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

CHICAGO, IL

Past

December 31, 2001 - October 31, 2003

JBS LIBERTY SECURITIES, INC.

RIA

CRD#: 36179

CHARLOTTE, NC

Past

May 1, 2001 - October 31, 2003

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, NC

Past

February 15, 2001 - May 4, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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

California
(4/11/2016)

Illinois
(4/11/2016)

IAR

Illinois
(4/11/2016)

Kansas
(4/11/2016)

Massachusetts
(4/11/2016)

Missouri
(4/11/2016)

New York
(4/11/2016)

Ohio
(4/11/2016)

Tennessee
(4/11/2016)

Virginia
(4/11/2016)

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: 6/7/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/7/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/14/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2013

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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Advisor Monitoring

Firm Stability Insights

James P. Farrar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Farrar's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

JBS LIBERTY SECURITIES, INC.

JBS LIBERTY SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/7/2001

Series 63

Date: 2/20/2001

SIE

Date: 10/1/2018

Series 3

Date: 1/7/2014

Series 7

Date: 2/14/2001

Series 24

Date: 4/9/2013

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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