JS
Jeffrey C. Smith
NUVEEN ASSET MANAGEMENT
New York, NY 10017
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CRD#: 6161612
JS
Professional summary
Jeffrey Curry Smith is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in New York, New York and NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jeffrey has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view Jeffrey Curry Smith'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 4, 2017 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 730 Third Ave, New York, NY 10017RIA
CRD#: 155584
New York, NY
Current
January 3, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286BD
CRD#: 469
Chicago, IL
Past
August 18, 2016 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
NEW YORK, NY
Past
March 25, 2013 - April 1, 2016
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
February 13, 2013 - April 1, 2016
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
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(6/25/2021)
RR
Alaska(6/25/2021)
RR
Arizona(6/25/2021)
RR
Arkansas(6/25/2021)
RR
California(3/19/2019)
RR
Colorado(6/25/2021)
RR
Connecticut(6/25/2021)
RR
Delaware(7/11/2018)
RR
District of Columbia(7/11/2018)
RR
Florida(6/25/2021)
RR
Georgia(6/25/2021)
RR
Hawaii(6/25/2021)
RR
Idaho(6/25/2021)
IAR
Illinois(1/4/2017)
RR
Illinois(6/25/2021)
RR
Indiana(6/25/2021)
RR
Iowa(6/25/2021)
RR
Kansas(6/25/2021)
RR
Kentucky(6/25/2021)
RR
Louisiana(6/25/2021)
RR
Maine(6/25/2021)
RR
Maryland(7/11/2018)
RR
Massachusetts(6/25/2021)
RR
Michigan(6/25/2021)
RR
Minnesota(6/25/2021)
RR
Mississippi(6/25/2021)
RR
Missouri(6/25/2021)
RR
Montana(6/25/2021)
RR
Nebraska(6/25/2021)
RR
Nevada(6/25/2021)
RR
New Hampshire(6/25/2021)
RR
New Jersey(1/3/2017)
RR
New Mexico(6/25/2021)
RR
New York(1/3/2017)
RR
North Carolina(6/25/2021)
RR
North Dakota(6/25/2021)
RR
Ohio(6/25/2021)
RR
Oklahoma(6/25/2021)
RR
Oregon(3/19/2019)
RR
Pennsylvania(6/25/2021)
RR
Puerto Rico(6/25/2021)
RR
Rhode Island(6/25/2021)
RR
South Carolina(6/25/2021)
RR
South Dakota(6/25/2021)
RR
Tennessee(6/25/2021)
RR
Texas(6/25/2021)
RR
Utah(6/25/2021)
RR
Vermont(6/25/2021)
RR
Virgin Islands(6/25/2021)
RR
Virginia(7/11/2018)
RR
Washington(6/25/2021)
RR
West Virginia(6/25/2021)
RR
Wisconsin(6/25/2021)
RR
Wyoming(6/25/2021)
Exams
State Security Law Exam
General 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
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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.
