JG
James B. Gorrell
NUVEEN ASSET MANAGEMENT
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 5642693
JG
Professional summary
James Brendan Gorrell, who also goes by James Gorrell, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Gorrell
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 James Brendan Gorrell'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
September 1, 2011 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
CHICAGO, IL
Current
November 7, 2012 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286BD
CRD#: 469
Chicago, IL
Past
August 30, 2011 - July 19, 2012
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
November 10, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
August 19, 2009 - October 10, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ITASCA, 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.
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(4/28/2020)
RR
Alaska(4/28/2020)
RR
Arizona(4/28/2020)
RR
Arkansas(4/28/2020)
RR
California(1/25/2013)
IAR
California(1/28/2013)
RR
Colorado(4/28/2020)
RR
Connecticut(4/28/2020)
RR
Delaware(4/28/2020)
RR
District of Columbia(4/28/2020)
RR
Florida(1/25/2013)
RR
Georgia(11/22/2013)
RR
Hawaii(4/28/2020)
RR
Idaho(4/28/2020)
IAR
Illinois(9/1/2011)
RR
Illinois(11/7/2012)
RR
Indiana(4/28/2020)
RR
Iowa(11/22/2013)
RR
Kansas(4/28/2020)
RR
Kentucky(1/25/2013)
IAR
Kentucky(1/28/2013)
RR
Louisiana(4/28/2020)
RR
Maine(4/28/2020)
RR
Maryland(4/28/2020)
RR
Massachusetts(1/25/2013)
RR
Michigan(12/6/2013)
RR
Minnesota(1/25/2013)
RR
Mississippi(4/28/2020)
RR
Missouri(1/25/2013)
RR
Montana(4/28/2020)
RR
Nebraska(11/22/2013)
RR
Nevada(4/28/2020)
RR
New Hampshire(4/28/2020)
RR
New Jersey(11/22/2013)
RR
New Mexico(4/28/2020)
RR
New York(4/28/2020)
RR
North Carolina(11/25/2013)
RR
North Dakota(4/28/2020)
RR
Ohio(4/28/2020)
RR
Oklahoma(4/28/2020)
RR
Oregon(4/28/2020)
RR
Pennsylvania(1/25/2013)
IAR
Pennsylvania(1/30/2013)
RR
Puerto Rico(4/28/2020)
RR
Rhode Island(4/28/2020)
RR
South Carolina(4/28/2020)
RR
South Dakota(4/28/2020)
RR
Tennessee(4/28/2020)
RR
Texas(11/22/2013)
RR
Utah(4/28/2020)
RR
Vermont(4/28/2020)
RR
Virgin Islands(4/28/2020)
RR
Virginia(4/28/2020)
RR
Washington(4/28/2020)
RR
West Virginia(4/28/2020)
RR
Wisconsin(1/25/2013)
RR
Wyoming(4/28/2020)
Exams
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
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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.
