RS
Robert J. Shea
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4527431
RS
Professional summary
Robert Joseph Shea III, who also goes by Robert Joseph Rj, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in San Francisco, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Joseph Rj
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.
(1) FAITH PRESBYTERIAN CHURCH; NON PROFIT; MEMBER OF THE FINANCE COMMITTEE; MY ROLD IS TO ATTEND MONTHLY MEETING; FINANCE COMMITTEE SENDS BUDGETARY DATA, TRENDS AND BALANCE SHEETS TO THE SESSION; APPROXIMATELY 2 HOURS PER MONTH; NO COMPENSATION; WILL CONFLICT WITH MY RESPONSIBILITIES AT NUVEEN; START DATE: 1/16/2017. (2) Name: St. Paul's School Catholic High School Position: Committee Member Nature: President of sub committee Investment Related: No Hours: 1/month Securities Trading Hours: 0 Start Date: 3/5/2021 Address: 917 S Jahncke Ave Covington, LA 70433 Description: Committee Member for Pension Benefit Currently on the Board of Trustees for St. Paul's School serves as a governance board.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Shea III's 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®
NoneExperience
Current
March 16, 2011 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
January 3, 2011 - Present
NUVEEN SECURITIES, LLC
Office #1: 560 Mission Street, San Francisco, CA 94105BD
CRD#: 469
SAN FRANCISCO, CA
Past
September 18, 2008 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
October 4, 2004 - September 4, 2008
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
CENTENNIAL, CO
Past
May 16, 2003 - October 1, 2004
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
NA
NUVEEN ASSET MANAGEMENT, LLC
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.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
Alabama(1/3/2011)
RR
Alaska(11/18/2021)
RR
Arizona(11/18/2021)
IAR
Arkansas(3/16/2011)
RR
Arkansas(7/18/2017)
RR
California(11/18/2021)
RR
Colorado(11/18/2021)
RR
Connecticut(11/18/2021)
RR
Delaware(11/18/2021)
RR
District of Columbia(11/18/2021)
RR
Florida(7/18/2017)
RR
Georgia(11/18/2021)
RR
Hawaii(11/18/2021)
RR
Idaho(11/18/2021)
RR
Illinois(11/18/2021)
RR
Indiana(11/18/2021)
RR
Iowa(11/18/2021)
RR
Kansas(11/18/2021)
IAR
Kentucky(3/16/2011)
RR
Kentucky(11/18/2021)
RR
Louisiana(1/3/2011)
IAR
Louisiana(3/16/2011)
RR
Maine(11/18/2021)
RR
Maryland(11/18/2021)
RR
Massachusetts(11/18/2021)
RR
Michigan(11/18/2021)
RR
Minnesota(11/18/2021)
RR
Mississippi(1/3/2011)
RR
Missouri(11/18/2021)
RR
Montana(11/18/2021)
RR
Nebraska(11/18/2021)
RR
Nevada(11/18/2021)
RR
New Hampshire(11/18/2021)
RR
New Jersey(11/18/2021)
RR
New Mexico(11/18/2021)
RR
New York(11/18/2021)
RR
North Carolina(11/18/2021)
RR
North Dakota(11/18/2021)
RR
Ohio(11/18/2021)
RR
Oklahoma(11/18/2021)
RR
Oregon(11/18/2021)
RR
Pennsylvania(11/18/2021)
RR
Puerto Rico(11/18/2021)
RR
Rhode Island(11/18/2021)
RR
South Carolina(11/18/2021)
RR
South Dakota(11/18/2021)
RR
Tennessee(11/18/2021)
RR
Texas(7/18/2011)
IAR
Texas(7/18/2011)
RR
Utah(11/18/2021)
RR
Vermont(11/18/2021)
RR
Virgin Islands(11/18/2021)
RR
Virginia(11/18/2021)
RR
Washington(11/18/2021)
RR
West Virginia(11/18/2021)
RR
Wisconsin(11/18/2021)
RR
Wyoming(11/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
Registered Investment Advisory firm - (11/24/2010 Approved)Upgrade to AdvisorCheck Premium
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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)
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
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.
