Leigh A. Schuler
Professional summary
Leigh Ann Schuler is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Leigh is registered as a RR (Registered Representative) and started their career in finance in 2003. Leigh has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leigh Ann Schuler's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2021 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286August 24, 2009 - August 18, 2011
ADP BROKER-DEALER, INC.
January 18, 2008 - December 31, 2008
GOLDMAN SACHS & CO. LLC
August 3, 2006 - January 18, 2008
GUGGENHEIM INVESTMENTS
July 5, 2006 - January 18, 2008
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
March 28, 2003 - June 21, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/19/2021
General Securities Representative ExaminationSeries 55
Date: 1/27/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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