Mark L. Canale

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 4750205

Professional summary

Mark Lawrence Canale is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mark has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Mark Lawrence Canale'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

December 14, 2015 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606

RIA

CRD#: 155584

Chicago, IL

Current

December 14, 2015 - Present

NUVEEN SECURITIES, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286

CRD#: 469

Chicago, IL

Past

March 17, 2023 - September 18, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHICAGO, IL

Past

July 20, 2015 - December 1, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

GENEVA, IL

Past

June 17, 2015 - December 1, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GENEVA, IL

Past

March 25, 2015 - May 27, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

MT. PROSPECT, IL

Past

April 22, 2010 - February 25, 2015

SCOTTRADE, INC.

CRD#: 8206

PARK RIDGE, IL

Past

June 6, 2008 - April 12, 2010

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

Past

January 1, 2006 - May 20, 2008

SCOTTRADE, INC.

CRD#: 8206

SCHAUMBURG, IL

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

Illinois
(12/14/2015)

IAR

Illinois
(12/14/2015)

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 66

Date: 7/20/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/17/2006

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: 12/21/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2016

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Mark L. Canale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Lawrence Canale's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

J.P. MORGAN SECURITIES LLC

SCOTTRADE, INC.

OPTIONSXPRESS, INC.

SCOTTRADE, INC.

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2015

Series 63

Date: 1/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2005

Series 24

Date: 4/4/2016

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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