JD
Jenny Du
NUVEEN SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 5772364
JD
Professional summary
Jenny Du, who also goes by Jenny Jie Du, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Minneapolis, Minnesota.
Jenny is registered as a RR (Registered Representative) and started their career in finance in 2013. Jenny has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jenny Jie Du
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 Jenny Du'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
February 4, 2019 - Present
NUVEEN SECURITIES, LLC
Office #1: 901 Marquette Avenue Suite 2900, Minneapolis, MN 55402BD
CRD#: 469
Minneapolis, MN
Past
August 2, 2017 - January 23, 2019
ARES MANAGEMENT CAPITAL MARKETS LLC
BD
CRD#: 166219
NEW YORK, NY
Past
January 29, 2013 - April 7, 2014
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
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(2/4/2019)
RR
Alaska(2/4/2019)
RR
Arizona(2/4/2019)
RR
Arkansas(2/4/2019)
RR
California(2/4/2019)
RR
Colorado(2/4/2019)
RR
Connecticut(2/4/2019)
RR
Delaware(2/4/2019)
RR
District of Columbia(2/4/2019)
RR
Florida(2/4/2019)
RR
Georgia(2/4/2019)
RR
Hawaii(2/4/2019)
RR
Idaho(2/4/2019)
RR
Illinois(2/4/2019)
RR
Indiana(2/4/2019)
RR
Iowa(2/4/2019)
RR
Kansas(2/4/2019)
RR
Kentucky(2/4/2019)
RR
Louisiana(2/4/2019)
RR
Maine(2/4/2019)
RR
Maryland(2/4/2019)
RR
Massachusetts(2/4/2019)
RR
Michigan(2/4/2019)
RR
Minnesota(2/4/2019)
RR
Mississippi(2/4/2019)
RR
Missouri(2/4/2019)
RR
Montana(2/4/2019)
RR
Nebraska(2/4/2019)
RR
Nevada(2/4/2019)
RR
New Hampshire(2/4/2019)
RR
New Jersey(2/4/2019)
RR
New Mexico(2/4/2019)
RR
New York(2/4/2019)
RR
North Carolina(2/4/2019)
RR
North Dakota(2/4/2019)
RR
Ohio(2/4/2019)
RR
Oklahoma(2/4/2019)
RR
Oregon(2/4/2019)
RR
Pennsylvania(2/4/2019)
RR
Puerto Rico(2/4/2019)
RR
Rhode Island(2/4/2019)
RR
South Carolina(2/4/2019)
RR
South Dakota(2/4/2019)
RR
Tennessee(2/4/2019)
RR
Texas(2/4/2019)
RR
Utah(2/4/2019)
RR
Vermont(2/4/2019)
RR
Virgin Islands(2/4/2019)
RR
Virginia(2/4/2019)
RR
Washington(2/4/2019)
RR
West Virginia(2/4/2019)
RR
Wisconsin(2/4/2019)
RR
Wyoming(2/4/2019)
Exams
State Security Law Exam
General Industry/Product 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.
