YT
Yewin Than
NUVEEN SECURITIES
Chicago, IL 60606-1286
Some features on this profile are disabled
CRD#: 5734021
YT
Professional summary
Yewin Than is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Yewin is registered as a RR (Registered Representative) and started their career in finance in 2010. Yewin has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Yewin Than'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
January 3, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286BD
CRD#: 469
Chicago, IL
Past
November 4, 2014 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
CHICAGO, IL
Past
March 31, 2010 - September 2, 2014
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/4/2017)
RR
Alaska(1/4/2017)
RR
Arizona(1/3/2017)
RR
Arkansas(1/3/2017)
RR
California(1/3/2017)
RR
Colorado(1/3/2017)
RR
Connecticut(1/3/2017)
RR
Delaware(1/3/2017)
RR
District of Columbia(1/3/2017)
RR
Florida(1/3/2017)
RR
Georgia(1/9/2017)
RR
Hawaii(1/4/2017)
RR
Idaho(1/3/2017)
RR
Illinois(1/3/2017)
RR
Indiana(1/3/2017)
RR
Iowa(1/3/2017)
RR
Kansas(1/3/2017)
RR
Kentucky(1/3/2017)
RR
Louisiana(1/3/2017)
RR
Maine(1/3/2017)
RR
Maryland(1/3/2017)
RR
Massachusetts(1/3/2017)
RR
Michigan(1/3/2017)
RR
Minnesota(1/3/2017)
RR
Mississippi(1/3/2017)
RR
Missouri(1/3/2017)
RR
Montana(1/3/2017)
RR
Nebraska(1/3/2017)
RR
Nevada(1/3/2017)
RR
New Hampshire(1/3/2017)
RR
New Jersey(1/3/2017)
RR
New Mexico(1/3/2017)
RR
New York(1/3/2017)
RR
North Carolina(1/3/2017)
RR
North Dakota(1/3/2017)
RR
Ohio(1/3/2017)
RR
Oklahoma(1/5/2017)
RR
Oregon(1/3/2017)
RR
Pennsylvania(1/3/2017)
RR
Puerto Rico(1/10/2017)
RR
Rhode Island(1/3/2017)
RR
South Carolina(1/3/2017)
RR
South Dakota(1/3/2017)
RR
Tennessee(1/3/2017)
RR
Texas(1/3/2017)
RR
Utah(1/3/2017)
RR
Vermont(1/3/2017)
RR
Virgin Islands(1/9/2017)
RR
Virginia(1/3/2017)
RR
Washington(1/3/2017)
RR
West Virginia(1/3/2017)
RR
Wisconsin(1/3/2017)
RR
Wyoming(1/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
