EZ
Erika L. Zabler
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5095624
EZ
Professional summary
Erika Leslie Brekke Zabler, who also goes by Erika Leslie Brekke, Erika Leslie Brekke Zabler, Erika Zabler, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Minneapolis, Minnesota.
Erika is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Erika has worked at 3 firms and has passed the Series 66, Series 52TO, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erika Leslie Brekke | Erika Leslie Brekke Zabler | Erika Zabler
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.
CRS (Client Relationship Summary) - RIA
Click below to view Erika Leslie Brekke Zabler'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
August 26, 2022 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
August 26, 2022 - Present
NUVEEN SECURITIES, LLC
Office #1: 901 Marquette Avenue Suite 2900, Minneapolis, MN 55402BD
CRD#: 469
Minneapolis, MN
Past
December 20, 2013 - November 27, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MINNEAPOLIS, MN
Past
November 9, 2006 - November 27, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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(8/26/2022)
RR
Alaska(8/26/2022)
RR
Arizona(8/26/2022)
RR
Arkansas(8/26/2022)
RR
California(8/26/2022)
RR
Colorado(8/26/2022)
RR
Connecticut(8/26/2022)
RR
Delaware(8/26/2022)
RR
District of Columbia(8/26/2022)
RR
Florida(8/26/2022)
RR
Georgia(8/26/2022)
RR
Hawaii(8/26/2022)
RR
Idaho(8/26/2022)
RR
Illinois(8/26/2022)
IAR
Illinois(8/26/2022)
RR
Indiana(8/26/2022)
RR
Iowa(8/26/2022)
RR
Kansas(8/26/2022)
RR
Kentucky(8/26/2022)
RR
Louisiana(8/26/2022)
RR
Maine(8/26/2022)
RR
Maryland(8/26/2022)
RR
Massachusetts(8/26/2022)
RR
Michigan(8/26/2022)
RR
Minnesota(8/26/2022)
RR
Mississippi(8/26/2022)
RR
Missouri(8/26/2022)
RR
Montana(8/26/2022)
RR
Nebraska(8/26/2022)
RR
Nevada(8/26/2022)
RR
New Hampshire(8/26/2022)
RR
New Jersey(8/26/2022)
RR
New Mexico(8/26/2022)
RR
New York(8/26/2022)
RR
North Carolina(8/26/2022)
RR
North Dakota(8/26/2022)
RR
Ohio(8/27/2022)
RR
Oklahoma(8/26/2022)
RR
Oregon(8/26/2022)
RR
Pennsylvania(8/26/2022)
RR
Puerto Rico(8/26/2022)
RR
Rhode Island(8/26/2022)
RR
South Carolina(8/26/2022)
RR
South Dakota(8/26/2022)
RR
Tennessee(8/26/2022)
RR
Texas(8/26/2022)
RR
Utah(8/26/2022)
RR
Vermont(8/26/2022)
RR
Virgin Islands(8/26/2022)
RR
Virginia(8/26/2022)
RR
Washington(8/26/2022)
RR
West Virginia(8/26/2022)
RR
Wisconsin(8/26/2022)
RR
Wyoming(8/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
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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.
