Michael Masci
Professional summary
Michael Masci, CFP®, who also goes by Mike Masci, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Masci's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2019
Experience
September 23, 2022 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606September 15, 2022 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262November 5, 2021 - August 29, 2022
PRINCIPAL SECURITIES, INC.
November 1, 2021 - August 29, 2022
PRINCIPAL SECURITIES, INC.
August 26, 2016 - October 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
August 19, 2016 - October 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2014 - August 4, 2016
VALIC FINANCIAL ADVISORS, INC.
November 11, 2014 - August 4, 2016
VALIC FINANCIAL ADVISORS, INC.
October 8, 2013 - November 7, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 4, 2013 - November 7, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 22, 2009 - December 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 3, 2008 - December 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 17, 2006 - November 19, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 27, 2005 - November 8, 2006
BOFA ADVISORS, LLC
April 28, 2005 - November 8, 2006
BOFA DISTRIBUTORS, INC.
August 12, 2004 - April 6, 2005
WELLS FARGO CLEARING SERVICES, 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
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Exams
FINRA
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.
