Steven D. Viren
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Daniel Viren, who also goes by Steve D VIren, Steve D Viren, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 4, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2011 - March 30, 2026
NUVEEN ASSET MANAGEMENT, LLC
July 21, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
July 21, 2010 - March 30, 2026
NUVEEN SECURITIES, LLC
August 7, 2008 - July 12, 2010
BROKERSXPRESS LLC
August 7, 2008 - July 12, 2010
BROKERSXPRESS LLC
February 27, 2007 - July 12, 2010
OPTIONSXPRESS, INC.
September 25, 2006 - October 28, 2006
1717 CAPITAL MANAGEMENT COMPANY
August 11, 2004 - October 28, 2006
NATIONWIDE SECURITIES, LLC
June 10, 2003 - December 15, 2003
EDWARD JONES
July 1, 2002 - June 13, 2003
METROPOLITAN LIFE INSURANCE COMPANY
July 1, 2002 - June 13, 2003
MSI FINANCIAL SERVICES, 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
Exams
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
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.
