Margaret C. Thomsen
Professional summary
Margaret Catherine Thomsen, who also goes by Margaret Catherine Leung, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Los Angeles, California.
Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Margaret has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Catherine Thomsen's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2015 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606July 2, 2015 - Present
NUVEEN SECURITIES, LLC
Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067December 5, 2013 - June 12, 2015
INVESCO CAPITAL MARKETS, INC.
July 27, 2011 - June 12, 2015
INVESCO ADVISERS, INC.
August 12, 2010 - June 12, 2015
INVESCO DISTRIBUTORS, INC.
October 15, 2007 - July 9, 2010
COREBRIDGE CAPITAL SERVICES, INC.
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
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Exams
FINRA
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.
