Harold T. Whalen

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 4558083

Professional summary

Harold Thomas Whalen, who also goes by Hal Whalen, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in San Francisco, California.

Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Harold has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hal Whalen

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) - RIA

Click below to view Harold Thomas Whalen'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

July 23, 2025 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606

RIA

CRD#: 155584

Chicago, IL

Current

July 21, 2025 - Present

NUVEEN SECURITIES, LLC

Office #1: 560 Mission Street, San Francisco, CA 94105

CRD#: 469

SAN FRANCISCO, CA

Past

March 27, 2020 - May 7, 2025

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

Millersville, MD

Past

March 27, 2020 - May 7, 2025

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

April 25, 2011 - April 3, 2020

NATIXIS ADVISORS, LLC

RIA

CRD#: 106800

Conshohocken, PA

Past

April 21, 2011 - April 3, 2020

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

August 29, 2008 - April 4, 2011

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

February 20, 2004 - April 4, 2011

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

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".

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.

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

District of Columbia
(7/29/2025)

Florida
(7/22/2025)

IAR

Illinois
(7/23/2025)

Maryland
(7/25/2025)

Pennsylvania
(7/25/2025)

Virginia
(7/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/20/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/6/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NUVEEN ASSET MANAGEMENT, LLC FORM ADV PART 2A (3/21/2025)

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	Cover Page	Report
12/19/2024	Cover Page	Report
12/15/2023	Cover Page	Report
12/15/2022	Cover Page	Report

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.

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Firm Stability Insights

Harold T. Whalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Thomas Whalen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

NATIXIS ADVISORS, LLC

NATIXIS DISTRIBUTION, LLC

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/2008

Series 63

Date: 2/6/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2008

Series 6

Date: 1/29/2004

FINRA

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NUVEEN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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