David M. Flaherty
Professional summary
David Maurice Flaherty, CIMA®, who also goes by Dave Flaherty, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in San Francisco, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Maurice Flaherty's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2015 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606September 24, 2015 - Present
NUVEEN SECURITIES, LLC
Office #1: 560 Mission Street, San Francisco, CA 94105March 19, 2012 - September 8, 2015
ALPS DISTRIBUTORS, INC.
October 26, 2005 - February 28, 2012
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 6, 2004 - October 3, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2004 - October 3, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2003 - July 21, 2004
TAFFERER TRADING, LLC
August 6, 2003 - August 15, 2003
TAFFERER TRADING, LLC
January 25, 2002 - July 18, 2003
TRAUTMAN WASSERMAN & COMPANY, INC.
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2015)
(9/24/2015)
Exams
Series 55
Date: 9/11/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
Contact information
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
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