Margo L. Cook
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.
Margo Lynn Cook, who also goes by Margo L Cook Ms., Margo L Cook, Margo L. Cook, Margo Cook, was a registered financial professional .
Margo is a previously registered financial professional and started their career in finance in 2007. Margo had worked at 5 firms and has passed the Series 66, SIE 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 - May 28, 2020
NUVEEN ASSET MANAGEMENT, LLC
February 6, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
February 4, 2009 - March 9, 2020
NUVEEN SECURITIES, LLC
February 22, 2008 - October 2, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
July 31, 2007 - October 2, 2008
J.P. MORGAN SECURITIES LLC
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.
