WG
William E. Graiser
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
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CRD#: 4741564
WG
Professional summary
William E Graiser, CIMA®, who also goes by Bill Graiser, William Graiser, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Graiser | William Graiser
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: Going Yard Baseball Position: Consultant - help facilitate event with venues, event logistics and marketing Nature: On-Field Baseball entertainment Investment Related: No Hours: 1-2 hours per week Securities Trading Hours: 0 Start Date: 5/15/2024 Address: Private Address, New York, NY Description: The business organizes events at major league baseball stadiums. The events are limited to 70 participants. It is designed to create an on-field baseball experience for those interested. The events will be held 1-2x per year over a weekend.
CRS (Client Relationship Summary) - RIA
Click below to view William E Graiser'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®
Experience
Current
November 25, 2020 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
November 23, 2020 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017BD
CRD#: 469
New York, NY
Past
February 14, 2011 - November 6, 2020
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
November 9, 2010 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
April 9, 2008 - September 9, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
February 2, 2007 - April 8, 2008
TD AMERITRADE, INC.
RIA
CRD#: 7870
STAMFORD, CT
Past
February 2, 2007 - April 8, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
STAMFORD, CT
Past
January 17, 2007 - April 8, 2008
TD AMERITRADE, INC.
BD
CRD#: 7870
STAMFORD, CT
Past
April 19, 2004 - November 7, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(11/23/2020)
RR
Alaska(11/23/2020)
RR
Arizona(11/23/2020)
RR
Arkansas(11/23/2020)
RR
California(11/23/2020)
RR
Colorado(11/23/2020)
RR
Connecticut(11/23/2020)
RR
Delaware(11/23/2020)
RR
District of Columbia(11/23/2020)
RR
Florida(11/23/2020)
RR
Georgia(11/23/2020)
RR
Hawaii(11/23/2020)
RR
Idaho(11/23/2020)
RR
Illinois(11/23/2020)
IAR
Illinois(11/25/2020)
RR
Indiana(11/23/2020)
RR
Iowa(11/23/2020)
RR
Kansas(11/23/2020)
RR
Kentucky(11/23/2020)
RR
Louisiana(11/23/2020)
RR
Maine(11/23/2020)
RR
Maryland(11/23/2020)
RR
Massachusetts(11/23/2020)
RR
Michigan(11/23/2020)
RR
Minnesota(11/23/2020)
RR
Mississippi(11/23/2020)
RR
Missouri(11/23/2020)
RR
Montana(11/23/2020)
RR
Nebraska(11/23/2020)
RR
Nevada(11/23/2020)
RR
New Hampshire(11/23/2020)
RR
New Jersey(11/23/2020)
RR
New Mexico(11/23/2020)
RR
New York(11/23/2020)
RR
North Carolina(11/23/2020)
RR
North Dakota(11/23/2020)
RR
Ohio(11/24/2020)
RR
Oklahoma(11/23/2020)
RR
Oregon(11/23/2020)
RR
Pennsylvania(11/23/2020)
RR
Puerto Rico(11/23/2020)
RR
Rhode Island(11/23/2020)
RR
South Carolina(11/23/2020)
RR
South Dakota(11/23/2020)
RR
Tennessee(11/24/2020)
RR
Texas(11/23/2020)
RR
Utah(11/23/2020)
RR
Vermont(11/23/2020)
RR
Virgin Islands(11/23/2020)
RR
Virginia(11/23/2020)
RR
Washington(11/23/2020)
RR
West Virginia(11/23/2020)
RR
Wisconsin(11/23/2020)
RR
Wyoming(11/23/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
