Spencer M. Dalton

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 4978311

Professional summary

Spencer Maxwell Dalton, CIMA®, who also goes by Max Dalton, 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.

Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Spencer has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Max Dalton

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 Spencer Maxwell Dalton'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 6, 2020 - Present

NUVEEN ASSET MANAGEMENT, LLC

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

RIA

CRD#: 155584

Chicago, IL

Current

May 29, 2020 - Present

NUVEEN SECURITIES, LLC

Office #1: 730 Third Ave, New York, NY 10017

CRD#: 469

New York, NY

Past

May 9, 2018 - May 18, 2020

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

CRD#: 157625

CHICAGO, IL

Past

November 22, 2011 - April 27, 2018

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 16, 2008 - October 20, 2011

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

July 12, 2006 - October 20, 2011

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

November 15, 2005 - June 15, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PORTSMOUTH, NH

Past

November 15, 2005 - June 15, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PORTSMOUTH, NH

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

Connecticut
(12/4/2020)

IAR

Illinois
(8/6/2020)

New York
(5/29/2020)

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: 8/5/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/21/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2005

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Spencer M. Dalton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Maxwell Dalton's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/2020

Series 66

Date: 9/21/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2005

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

Similar Advisors