Luis Alejandro Pelaez
CFP®, CIMA®Professional Summary
Luis Alejandro Pelaez, CFP®, CIMA®, who also goes by Luis Pelaez, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois. Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Luis has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Luis Pelaez
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Credentials
Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NUVEEN ASSET MANAGEMENT, LLC
Contact Information
Main Address
333 West Wacker Drive, Chicago, IL 60606Phone Number
(312) 917-7700# of Employees
381SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
65,258AUM (Assets Under Management)
$280,484,645,970Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2026 | Cover Page | Report |
| 11/21/2025 | Cover Page | Report |
| 12/19/2024 | Cover Page | Report |
| 12/15/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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WILLIAM BLAIR
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Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Luis Alejandro Pelaez's CRS (Customer Relationship Summary).
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