James J. Penney
Professional summary
James Joseph Penney, who also goes by James Joseph Penney, James J Penney, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Los Angeles, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Penney's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2022 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606January 20, 2022 - Present
NUVEEN SECURITIES, LLC
Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067October 13, 2016 - January 21, 2020
BLACKROCK INVESTMENT MANAGEMENT, LLC
June 28, 2016 - January 21, 2020
BLACKROCK INVESTMENTS, LLC
May 29, 2015 - November 18, 2015
CAPITAL INVESTMENT GROUP, INC.
January 28, 2014 - October 17, 2014
VERTICAL CAPITAL SECURITIES, LLC
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
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Exams
FINRA
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
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.
