SP
Stephen A. Porco
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4961736
SP
Professional summary
Stephen Anthony Porco, who also goes by Stephen A Porco, Steve A Porco, 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.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen A Porco | Steve A Porco
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.
(1) Name: 21 West 74 Corp Position: Vice President Nature: Rental Property Investment Related: Yes Hours: 0 Securities Trading Hours: 0 Start Date: 12/15/2012 Address: 21 West 74th Street, New York, NY 10023 Description: No duties (2) Name: SA Porco Art Position: Self-Employed Artist and Art Dealer Nature: Artist Investment Related: No Hours: 5 hours per week Securities Trading Hours: 0 Start Date: 06/26/2024 Address: Home Address, Redding, CT Description: Creating artwork and acrylic paintings. Potential sales of art created.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Anthony Porco'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®
NoneExperience
Current
March 11, 2022 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
March 11, 2022 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017BD
CRD#: 469
New York, NY
Past
November 18, 2021 - February 16, 2022
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, CT
Past
November 17, 2020 - October 19, 2021
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
WHITE PLAINS, NY
Past
January 13, 2015 - October 7, 2020
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, CT
Past
July 23, 2010 - January 14, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SCARSDALE, NY
Past
September 6, 2006 - April 27, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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(3/11/2022)
RR
Alaska(3/11/2022)
RR
Arizona(3/11/2022)
RR
Arkansas(3/11/2022)
RR
California(3/11/2022)
RR
Colorado(3/11/2022)
RR
Connecticut(3/11/2022)
RR
Delaware(3/11/2022)
RR
District of Columbia(3/11/2022)
RR
Florida(3/11/2022)
RR
Georgia(3/11/2022)
RR
Hawaii(3/11/2022)
RR
Idaho(3/11/2022)
RR
Illinois(3/11/2022)
IAR
Illinois(3/11/2022)
RR
Indiana(3/11/2022)
RR
Iowa(3/11/2022)
RR
Kansas(3/11/2022)
RR
Kentucky(3/11/2022)
RR
Louisiana(3/11/2022)
RR
Maine(3/11/2022)
RR
Maryland(3/11/2022)
RR
Massachusetts(3/11/2022)
RR
Michigan(3/11/2022)
RR
Minnesota(3/11/2022)
RR
Mississippi(3/11/2022)
RR
Missouri(3/11/2022)
RR
Montana(3/11/2022)
RR
Nebraska(3/11/2022)
RR
Nevada(3/11/2022)
RR
New Hampshire(3/11/2022)
RR
New Jersey(3/11/2022)
RR
New Mexico(3/11/2022)
RR
New York(3/11/2022)
RR
North Carolina(3/11/2022)
RR
North Dakota(3/11/2022)
RR
Ohio(3/11/2022)
RR
Oklahoma(3/11/2022)
RR
Oregon(3/11/2022)
RR
Pennsylvania(3/11/2022)
RR
Puerto Rico(3/11/2022)
RR
Rhode Island(3/11/2022)
RR
South Carolina(3/11/2022)
RR
South Dakota(3/11/2022)
RR
Tennessee(3/11/2022)
RR
Texas(3/11/2022)
RR
Utah(3/11/2022)
RR
Vermont(3/11/2022)
RR
Virgin Islands(3/11/2022)
RR
Virginia(3/11/2022)
RR
Washington(3/11/2022)
RR
West Virginia(3/11/2022)
RR
Wisconsin(3/11/2022)
RR
Wyoming(3/11/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
