Ronald E. Perry
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.
Ronald Ernest Perry, who also goes by Ronald E Perry, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1977. Ronald had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - December 2, 2020
NUVEEN ASSET MANAGEMENT, LLC
August 1, 2013 - February 24, 2016
NUVEEN SECURITIES, LLC
December 21, 2005 - October 24, 2006
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - April 5, 2013
FRANKLIN DISTRIBUTORS, LLC
September 27, 1994 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 3, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 17, 1982 - August 10, 1983
LEHMAN BROTHERS INC.
July 27, 1979 - January 28, 1982
KIDDER, PEABODY & CO. INCORPORATED
January 18, 1978 - July 22, 1980
LOEB PARTNERS
September 21, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
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.
