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SA

Samuel J. Ahern

NUVEEN SECURITIES
SAN FRANCISCO, CA 94105
Some features on this profile are disabled
CRD#: 5962272
SA

Professional summary

Samuel James Ahern, who also goes by Sam J Ahern, Sam Ahern, Samuel James Ahern, Samuel Ahern, Samuel J Ahern, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in San Francisco, California.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2011. Samuel has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam J Ahern | Sam Ahern | Samuel James Ahern | Samuel Ahern | Samuel J Ahern

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel James Ahern's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 5, 2024 - Present

NUVEEN SECURITIES, LLC

Office #1: 560 Mission Street, San Francisco, CA 94105
BD
CRD#: 469
SAN FRANCISCO, CA
Past

January 11, 2022 - October 21, 2024

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

January 27, 2016 - April 21, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

January 27, 2016 - April 30, 2021

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

October 18, 2011 - February 5, 2016

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO

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
(12/5/2024)
RR
Alaska
(12/5/2024)
RR
Arizona
(12/5/2024)
RR
Arkansas
(12/5/2024)
RR
California
(12/5/2024)
RR
Colorado
(12/5/2024)
RR
Connecticut
(12/5/2024)
RR
Delaware
(12/5/2024)
RR
District of Columbia
(12/5/2024)
RR
Florida
(12/5/2024)
RR
Georgia
(12/5/2024)
RR
Hawaii
(12/5/2024)
RR
Idaho
(12/5/2024)
RR
Illinois
(12/5/2024)
RR
Indiana
(12/5/2024)
RR
Iowa
(12/5/2024)
RR
Kansas
(12/5/2024)
RR
Kentucky
(12/5/2024)
RR
Louisiana
(12/5/2024)
RR
Maine
(12/5/2024)
RR
Maryland
(12/5/2024)
RR
Massachusetts
(12/5/2024)
RR
Michigan
(12/5/2024)
RR
Minnesota
(12/5/2024)
RR
Mississippi
(12/5/2024)
RR
Missouri
(12/5/2024)
RR
Montana
(12/5/2024)
RR
Nebraska
(12/5/2024)
RR
Nevada
(12/5/2024)
RR
New Hampshire
(12/5/2024)
RR
New Jersey
(12/5/2024)
RR
New Mexico
(12/5/2024)
RR
New York
(12/5/2024)
RR
North Carolina
(12/5/2024)
RR
North Dakota
(12/5/2024)
RR
Ohio
(12/6/2024)
RR
Oklahoma
(12/5/2024)
RR
Oregon
(12/5/2024)
RR
Pennsylvania
(12/5/2024)
RR
Puerto Rico
(12/5/2024)
RR
Rhode Island
(12/5/2024)
RR
South Carolina
(12/5/2024)
RR
South Dakota
(12/5/2024)
RR
Tennessee
(12/5/2024)
RR
Texas
(12/5/2024)
RR
Utah
(12/5/2024)
RR
Vermont
(12/5/2024)
RR
Virgin Islands
(12/5/2024)
RR
Virginia
(12/5/2024)
RR
Washington
(12/5/2024)
RR
West Virginia
(12/5/2024)
RR
Wisconsin
(12/5/2024)
RR
Wyoming
(12/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NUVEEN SECURITIES, LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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.

Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469San Francisco, CA 94105

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