Leo A. Reed

NUVEEN SECURITIES

SAN FRANCISCO, CA 94105

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CRD#: 4384330

Professional summary

Leo Augustine Reed, who also goes by Leo A Reed, Leo A. Reed III, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in San Francisco, California.

Leo is registered as a RR (Registered Representative) and started their career in finance in 2006. Leo has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Leo A Reed | Leo A. Reed Iii

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) - BD

Click below to view Leo Augustine Reed'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

July 13, 2022 - Present

NUVEEN SECURITIES, LLC

Office #1: 560 Mission Street, San Francisco, CA 94105

CRD#: 469

SAN FRANCISCO, CA

Past

February 6, 2018 - June 30, 2022

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Weymouth, MA

Past

December 22, 2014 - December 15, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Boston, MA

Past

August 3, 2011 - November 26, 2014

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

BOSTON, MA

Past

May 13, 2011 - November 26, 2014

NEUBERGER BERMAN BD LLC

CRD#: 2908

BOSTON, MA

Past

April 13, 2006 - August 1, 2007

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(7/20/2022)

Alaska
(7/25/2022)

Arizona
(7/28/2022)

Arkansas
(7/14/2022)

California
(7/15/2022)

Colorado
(7/14/2022)

Connecticut
(7/14/2022)

Delaware
(7/19/2022)

District of Columbia
(7/15/2022)

Florida
(7/14/2022)

Georgia
(7/19/2022)

Hawaii
(7/14/2022)

Idaho
(7/14/2022)

Illinois
(7/22/2022)

Indiana
(7/27/2022)

Iowa
(7/15/2022)

Kansas
(7/14/2022)

Kentucky
(7/14/2022)

Louisiana
(7/19/2022)

Maine
(7/15/2022)

Maryland
(7/14/2022)

Massachusetts
(7/14/2022)

Michigan
(7/15/2022)

Minnesota
(7/14/2022)

Mississippi
(7/14/2022)

Missouri
(7/14/2022)

Montana
(7/13/2022)

Nebraska
(7/14/2022)

Nevada
(7/29/2022)

New Hampshire
(8/22/2022)

New Jersey
(7/14/2022)

New Mexico
(7/15/2022)

New York
(7/21/2022)

North Carolina
(7/15/2022)

North Dakota
(7/18/2022)

Ohio
(7/13/2022)

Oklahoma
(7/14/2022)

Oregon
(7/18/2022)

Pennsylvania
(7/14/2022)

Puerto Rico
(7/28/2022)

Rhode Island
(7/19/2022)

South Carolina
(7/18/2022)

South Dakota
(8/2/2022)

Tennessee
(7/13/2022)

Texas
(7/13/2022)

Utah
(7/14/2022)

Vermont
(7/14/2022)

Virgin Islands
(7/21/2022)

Virginia
(7/14/2022)

Washington
(7/14/2022)

West Virginia
(7/19/2022)

Wisconsin
(7/13/2022)

Wyoming
(7/22/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/29/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/19/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/11/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/12/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 8/13/2013

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

NUVEEN SECURITIES, LLC

JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

333 West Wacker Drive, Chicago, IL 60606-1286

Mailing Address

333 West Wacker Drive, Chicago, IL 60606-1286

Phone number

(312) 917-7700

Established

Delaware since 09/07/1967

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER
CARLIN, JEFFREY DENNIS	CHIEF EXECUTIVE OFFICER	2684780
MANGANO, JENNIFER LYNN	CHIEF FINANCIAL OFFICER	7659359
SATRE, LUCAS ARTHUR	GENERAL COUNSEL	2208099
SMITH, SHANITA SPIVEY	CHIEF COMPLIANCE OFFICER	5174146

Disclosures

Regulatory Event	7
Civil Event	2
Arbitration	1

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

Leo A. Reed

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leo Augustine Reed's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK DISTRIBUTORS LLC

FORESIDE FUND SERVICES, LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2011

Series 63

Date: 7/19/2006

SIE

Date: 10/1/2018

Series 31

Date: 9/11/2013

Series 7

Date: 5/12/2011

Series 30

Date: 8/13/2013

FINRA

Current Firm

NUVEEN SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NUVEEN SECURITIES, LLC

TRUST BUT VERIFY

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