Tucker B. Dahl
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.
Tucker Benjamin Dahl was a registered financial professional .
Tucker is a previously registered financial professional and started their career in finance in 2007. Tucker had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - November 19, 2020
NUVEEN ASSET MANAGEMENT, LLC
January 3, 2011 - November 19, 2020
NUVEEN SECURITIES, LLC
November 22, 2010 - January 5, 2011
U.S. BANCORP ASSET MANAGEMENT, INC.
January 28, 2008 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
June 11, 2007 - December 31, 2007
U.S. BANCORP INVESTMENTS, INC.
February 19, 2007 - July 26, 2007
QUASAR DISTRIBUTORS, LLC
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.
