JE
John S. Ellspermann
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
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CRD#: 4568620
JE
Professional summary
John Scott Ellspermann, CIMA®, CPWA®, who also goes by J. Scott Ellspermann, John S. Ellspermann, Scott Ellspermann, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J. Scott Ellspermann | John S. Ellspermann | Scott Ellspermann
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.
Name: Waypoint Mutual Position: Board Director Nature: Waypoint Mutual, previously Midwest Builders' Casualty, is a regional expert in workers' compensation insurance for construction, manufacturing, and other industries with similar exposure. They pride ourselves on formulating long-term partnerships with our policyholders. They offer quick access to decision-makers and personalized service from a consistent, experienced team Investment Related: yes Hours: This would be a 2 hour a Quarter commitment outside of Nuveen hours. Securities Trading Hours: N/A Start Date: 1/1/2025 Address: 1100 Walnut St., Suite 3000 Kansas City, MO 64106 Description:As a director of Waypoint Mutual, I would serve as a fiduciary of the mutual insurance company, providing oversight and direction to the management team. As a highly regulated insurance company, they are required to have a board of directors and regularly report on business activities. Directors approve rate filings, the purchase of reinsurance, territory growth/expansion, set agency commission levels, review operating results. Directors do not get involved in the day-to-day activities of our business, that is delegated to the executive team and staff. Directors typically meet four times a year and will occasionally meet virtually for issues that arise and need to be addressed. This position would not be identifying or approving investment activity. As a member of the audit and investment committee you will be provided reports on our current investment managers from our independent investment monitor and will be asked periodically to give input on the company's investment policy with any recommendations for change going back to the full board of directors. None of the directors are asked to identify, recommend, or approve individual investments or investment managers - they utilize a 3rd party to assist with investment manager selection.
CRS (Client Relationship Summary) - RIA
Click below to view John Scott Ellspermann'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®
CPWA®
Start date: 2008-05-12
Expire date: 2025-03-31
Experience
Current
June 23, 2023 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
March 21, 2023 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286BD
CRD#: 469
Chicago, IL
Past
August 13, 2020 - March 8, 2023
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
February 4, 2020 - August 7, 2020
TORTOISEECOFIN SECURITIES, LLC
BD
CRD#: 285411
OVERLAND PARK, KS
Past
May 12, 2009 - February 3, 2020
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
KANSAS CITY, MO
Past
October 10, 2002 - April 15, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
September 23, 2002 - April 15, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(3/21/2023)
RR
Alaska(3/21/2023)
RR
Arizona(3/21/2023)
RR
Arkansas(3/21/2023)
RR
California(3/21/2023)
RR
Colorado(3/21/2023)
RR
Connecticut(3/21/2023)
RR
Delaware(3/21/2023)
RR
District of Columbia(3/21/2023)
RR
Florida(3/21/2023)
RR
Georgia(3/21/2023)
RR
Hawaii(3/21/2023)
RR
Idaho(3/21/2023)
RR
Illinois(3/21/2023)
IAR
Illinois(6/23/2023)
RR
Indiana(3/21/2023)
RR
Iowa(3/21/2023)
RR
Kansas(3/21/2023)
RR
Kentucky(3/21/2023)
RR
Louisiana(3/21/2023)
RR
Maine(3/21/2023)
RR
Maryland(3/21/2023)
RR
Massachusetts(3/21/2023)
RR
Michigan(3/21/2023)
RR
Minnesota(3/21/2023)
RR
Mississippi(3/21/2023)
RR
Missouri(3/21/2023)
RR
Montana(3/21/2023)
RR
Nebraska(3/21/2023)
RR
Nevada(3/21/2023)
RR
New Hampshire(3/21/2023)
RR
New Jersey(3/21/2023)
RR
New Mexico(3/21/2023)
RR
New York(3/21/2023)
RR
North Carolina(3/21/2023)
RR
North Dakota(3/21/2023)
RR
Ohio(3/21/2023)
RR
Oklahoma(3/21/2023)
RR
Oregon(3/21/2023)
RR
Pennsylvania(3/21/2023)
RR
Puerto Rico(3/21/2023)
RR
Rhode Island(3/21/2023)
RR
South Carolina(3/21/2023)
RR
South Dakota(3/21/2023)
RR
Tennessee(3/21/2023)
RR
Texas(3/21/2023)
RR
Utah(3/21/2023)
RR
Vermont(3/21/2023)
RR
Virgin Islands(3/21/2023)
RR
Virginia(3/21/2023)
RR
Washington(3/21/2023)
RR
West Virginia(3/21/2023)
RR
Wisconsin(3/21/2023)
RR
Wyoming(3/21/2023)
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
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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.
