EP
Erik M. Persson
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6118450
EP
Professional summary
Erik Michael Persson, who also goes by Erik M Persson, Erik Michael Persson, Erik Persson, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Erik has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik M Persson | Erik Michael Persson | Erik Persson
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.
CITIZENS CAPITAL ADVISORY BUDGET COMMITTEE FOR THE CITY OF CHARLOTTE POSITION: Committee Member NATURE: I have been selected to serve on theCitizens Capital Advisory Budget Committee for the City of Charlotte. This is a volunteer, non-politically affiliated position. I will not receive compensation. I will not be providing investment advice. Below is a description of the role: 1. Receive and review capital project forms and quarterly capital project reports report to the Board of County Commissioners annually on the findings of the quarterly capital reports as it relates to Capital, Deferred Maintenance and Capital Operating Costs 2. Review the agency and community engagement process for the Capital Improvement Program INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: 700 East Fourth Street, Charlotte NC 28202, United States DESCRIPTION: Below is a description of the role: 1. Receive and review capital project forms and quarterly capital project reports report to the Board of County Commissioners annually on the findings of the quarterly capital reports as it relates to Capital, Deferred Maintenance and Capital Operating Costs 2. Review the agency and community engagement process for the Capital Improvement Program
CRS (Client Relationship Summary) - RIA
Click below to view Erik Michael Persson'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
July 1, 2024 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
June 26, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262BD
CRD#: 469
Charlotte, NC
Past
July 1, 2020 - June 12, 2024
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
CHARLOTTE, NC
Past
July 1, 2020 - June 12, 2024
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
July 28, 2014 - September 28, 2020
STERLING CAPITAL MANAGEMENT LLC
RIA
CRD#: 135405
CHARLOTTE, NC
Past
December 21, 2013 - June 8, 2020
STERLING CAPITAL DISTRIBUTORS, LLC
BD
CRD#: 103934
CHARLOTTE, NC
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(6/26/2024)
RR
Alaska(6/26/2024)
RR
Arizona(6/26/2024)
RR
Arkansas(6/26/2024)
RR
California(6/26/2024)
RR
Colorado(6/26/2024)
RR
Connecticut(6/26/2024)
RR
Delaware(6/26/2024)
RR
District of Columbia(6/26/2024)
RR
Florida(6/26/2024)
RR
Georgia(6/26/2024)
RR
Hawaii(6/26/2024)
RR
Idaho(6/26/2024)
RR
Illinois(6/26/2024)
IAR
Illinois(7/1/2024)
RR
Indiana(6/26/2024)
RR
Iowa(6/26/2024)
RR
Kansas(6/26/2024)
RR
Kentucky(6/26/2024)
RR
Louisiana(6/26/2024)
RR
Maine(6/26/2024)
RR
Maryland(6/26/2024)
RR
Massachusetts(6/26/2024)
RR
Michigan(6/26/2024)
RR
Minnesota(6/26/2024)
RR
Mississippi(6/26/2024)
RR
Missouri(6/26/2024)
RR
Montana(6/26/2024)
RR
Nebraska(6/26/2024)
RR
Nevada(6/26/2024)
RR
New Hampshire(6/26/2024)
RR
New Jersey(6/26/2024)
RR
New Mexico(6/26/2024)
RR
New York(6/26/2024)
RR
North Carolina(6/26/2024)
RR
North Dakota(6/26/2024)
RR
Ohio(6/27/2024)
RR
Oklahoma(6/26/2024)
RR
Oregon(6/26/2024)
RR
Pennsylvania(6/26/2024)
RR
Puerto Rico(6/26/2024)
RR
Rhode Island(6/26/2024)
RR
South Carolina(6/26/2024)
RR
South Dakota(6/26/2024)
RR
Tennessee(6/26/2024)
RR
Texas(6/26/2024)
RR
Utah(6/26/2024)
RR
Vermont(6/26/2024)
RR
Virgin Islands(6/26/2024)
RR
Virginia(6/26/2024)
RR
Washington(6/26/2024)
RR
West Virginia(6/26/2024)
RR
Wisconsin(6/26/2024)
RR
Wyoming(6/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/19/2020
General Securities Representative ExaminationGeneral 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
Registered Investment Advisory firm - (11/24/2010 Approved)Upgrade to AdvisorCheck Premium
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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.
