BD
Brian J. Davis
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5080979
BD
Professional summary
Brian John Davis, who also goes by Brian John Davis, Brian J Davis, 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.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian John Davis | Brian J Davis
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: Rivertown Ventures, LLC Position: Co-owner of Real Estate LLC Nature: Compensation of rental income Investment Related: No Hours: 1 hour per month Securities trading hours: 0 Start date: 03/30/2014 Address: PO Box 15724 Covington, KY 41015 Description: Rental real estate (2) Name: Adena Property Group, LLC (Formerly ABD Holdings, LLC) Position: Co-Owner Nature: Real Estate Investment Related: No Hours: 1 hour per month Securities trading hours: 0 Start date: 12/23/2016 Address: PO Box 15724, Covington, KY 41015 Description: Rental real estate (3) Name: Collier Beach Road Position: Member Nature: Real Estate Holdings Investment Related: No Hours: 1 hour per month Securities trading hours: 0 Start date: 06/17/2020 Address: PO Box 15724 Covington, KY 41015 Description: Rental real estate (4) Name: Groundswell Holdings LLC Nature: Investment holdings Position: Member Description: Created for the purpose of private placement investments Investment Related: �Yes��Hours: 1 per month Securities Trading Hours: 0 Start Date: 4/25/2022 Address: Home address (5) Name: Twilight Janitorial Position: Investor Nature: Commercial Cleaning Investment Related: No Hours: 0 hours per week Securities Trading Hours: 0 Start Date: 9/30/2022 Address: Home Address, Cincinnati, OH 45244 Description: Investor in Commercial Cleaning Company
CRS (Client Relationship Summary) - RIA
Click below to view Brian John Davis'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
October 4, 2021 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
September 10, 2021 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017BD
CRD#: 469
New York, NY
Past
June 22, 2012 - August 17, 2021
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
April 24, 2008 - May 10, 2012
CLEARARC CAPITAL, INC.
RIA
CRD#: 104650
CINCINNATI, OH
Past
January 2, 2008 - May 16, 2012
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
BD
CRD#: 144464
CINCINNATI, OH
Past
May 14, 2007 - December 31, 2007
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
CINCINNATI, OH
Past
March 1, 2007 - May 11, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
CINCINNATI, OH
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
IAR
Illinois(10/4/2021)
RR
Kentucky(12/13/2022)
RR
Ohio(9/12/2021)
RR
West Virginia(8/29/2024)
Exams
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.
