Michael Masci
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.
Michael Masci, CFP®, who also goes by Mike Masci, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
September 23, 2022 - February 23, 2026
NUVEEN ASSET MANAGEMENT, LLC
September 15, 2022 - February 23, 2026
NUVEEN SECURITIES, LLC
November 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
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.
