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NB

Nicole M. Betti

Some features on this profile are disabled
CRD#: 5307263
NB

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.

Nicole Marie Betti, who also goes by Nicole M Betti, Nicole M Butts, Nicole Marie Butts, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2007. Nicole had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole M Betti | Nicole M Butts | Nicole Marie Butts

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.
Name: Gold Coast Couture Position: Owner Nature: Seasonal hat business Investment Related: No Hours: 1 hour per week Securities trading hours: 0 Start date: 04.01.2011 Address: 1407 N Wells Street, Unit GE, Chicago, IL 60610 Description: This is a seasonal women's hat business, mainly for the Kentucky Derby. I have outsourced the day-to-day operations of the business. However my responsibilities include bookkeeping/filing tax returns. I do this outside activity only during nights and/or weekends. This is essentially an investment and I have not taken a paycheck from the business. I will likely be selling the business at some point in the near future.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 15, 2021 - October 29, 2025

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

October 15, 2021 - October 29, 2025

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

June 27, 2017 - July 8, 2021

PIPER SANDLER & CO.

RIA
CRD#: 665
Chicago, IL
Past

June 27, 2017 - July 8, 2021

PIPER SANDLER & CO.

BD
CRD#: 665
Chicago, IL
Past

August 15, 2016 - May 15, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past

July 21, 2016 - May 15, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ROLLING MEADOWS, IL
Past

April 4, 2007 - November 17, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/12/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/11/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/3/2007
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts71,370
AUM (Assets Under Management)$ 259,916,966,911

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584

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