Bradford L. Rowbotham

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 4797925

Professional summary

Bradford Lee Rowbotham, who also goes by Brad Rowbotham, Bradford L Rowbotham, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.

Bradford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Bradford has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brad Rowbotham | Bradford L Rowbotham

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 Bradford Lee Rowbotham'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 2, 2020 - Present

NUVEEN ASSET MANAGEMENT, LLC

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

RIA

CRD#: 155584

Chicago, IL

Current

November 23, 2020 - Present

NUVEEN SECURITIES, LLC

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

CRD#: 469

Chicago, IL

Past

November 29, 2010 - October 12, 2020

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

November 22, 2010 - October 12, 2020

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

January 12, 2010 - November 11, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

NEW YORK, NY

Past

January 12, 2010 - November 11, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

NEW YORK CITY, NY

Past

January 12, 2010 - November 11, 2010

TD AMERITRADE, INC.

CRD#: 7870

NEW YORK, NY

Past

May 21, 2007 - December 16, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

May 4, 2007 - December 16, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

May 11, 2006 - March 16, 2007

THINKEQUITY LLC

CRD#: 20996

NEW YORK, NY

Past

July 14, 2004 - October 28, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 14, 2004 - October 28, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(11/23/2020)

Alaska
(11/23/2020)

Arizona
(11/23/2020)

Arkansas
(11/23/2020)

California
(11/23/2020)

Colorado
(11/23/2020)

Connecticut
(11/23/2020)

Delaware
(11/23/2020)

District of Columbia
(11/23/2020)

Florida
(11/23/2020)

Georgia
(11/23/2020)

Hawaii
(11/23/2020)

Idaho
(11/23/2020)

Illinois
(11/23/2020)

IAR

Illinois
(12/2/2020)

Indiana
(11/23/2020)

Iowa
(11/23/2020)

Kansas
(11/23/2020)

Kentucky
(11/23/2020)

Louisiana
(11/23/2020)

Maine
(11/23/2020)

Maryland
(11/23/2020)

Massachusetts
(11/23/2020)

Michigan
(11/23/2020)

Minnesota
(11/23/2020)

Mississippi
(11/23/2020)

Missouri
(11/23/2020)

Montana
(11/23/2020)

Nebraska
(11/23/2020)

Nevada
(11/23/2020)

New Hampshire
(11/23/2020)

New Jersey
(11/23/2020)

New Mexico
(11/23/2020)

New York
(11/23/2020)

North Carolina
(11/23/2020)

North Dakota
(11/23/2020)

Ohio
(11/24/2020)

Oklahoma
(11/23/2020)

Oregon
(11/23/2020)

Pennsylvania
(11/23/2020)

Puerto Rico
(11/23/2020)

Rhode Island
(11/23/2020)

South Carolina
(11/23/2020)

South Dakota
(11/23/2020)

Tennessee
(11/23/2020)

Texas
(11/23/2020)

Utah
(11/23/2020)

Vermont
(11/23/2020)

Virgin Islands
(11/23/2020)

Virginia
(11/23/2020)

Washington
(11/23/2020)

West Virginia
(11/23/2020)

Wisconsin
(11/23/2020)

Wyoming
(11/23/2020)

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: 5/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/2006

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: 7/13/2004

General Securities 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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Advisor Monitoring

Firm Stability Insights

Bradford L. Rowbotham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradford Lee Rowbotham's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

THINKEQUITY LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2007

Series 63

Date: 5/30/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2004

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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