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TG

Theresa A. Goldberg

NUVEEN SECURITIES
Chicago, IL 60606-1286
Some features on this profile are disabled
CRD#: 4511639
TG

Professional summary

Theresa Anne Goldberg is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.

Theresa is registered as a RR (Registered Representative) and started their career in finance in 2002. Theresa has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Theresa Anne Goldberg'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

June 16, 2020 - Present

NUVEEN SECURITIES, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286
BD
CRD#: 469
Chicago, IL
Past

July 2, 2013 - April 25, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CHICAGO, IL
Past

June 23, 2004 - July 29, 2011

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
CHICAGO, IL
Past

September 10, 2002 - June 18, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 19, 2002 - January 7, 2003

FIRST OPTIONS OF CHICAGO, INC.

BD
CRD#: 13822
CHICAGO, IL

State Registrations and Notice Filings

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

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
Illinois
(3/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/3/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 30
Date: 6/10/2014
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

NUVEEN SECURITIES, LLC
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469Chicago, IL 60606-1286

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