Kathleen E. Friedman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathleen Elizabeth Friedman, who also goes by Kathleen Elizabeth Hullinger Ms, Kathleen Elizabeth Hullinger, Kathleen Hullinger, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2013. Kathleen had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2025 - November 20, 2025
NUVEEN ASSET MANAGEMENT, LLC
October 3, 2025 - November 20, 2025
NUVEEN SECURITIES, LLC
September 5, 2018 - October 1, 2025
NUVEEN ASSET MANAGEMENT, LLC
July 19, 2018 - October 1, 2025
NUVEEN SECURITIES, LLC
December 8, 2017 - July 10, 2018
NATIONAL FINANCIAL SERVICES LLC
August 5, 2013 - June 15, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
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Exams
Current Firm
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
Contact information
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
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