Charlotte R. Austin
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.
Charlotte Rebecca Austin, who also goes by Charlotte Austin, was a registered financial professional .
Charlotte is a previously registered financial professional and started their career in finance in 2016. Charlotte had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2020 - August 7, 2020
NUVEEN ASSET MANAGEMENT, LLC
January 14, 2020 - August 7, 2020
NUVEEN SECURITIES, LLC
November 3, 2017 - January 14, 2020
TRIAD ADVISORS LLC
November 2, 2017 - January 10, 2020
ALERA INVESTMENT ADVISORS, LLC
November 9, 2016 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
September 7, 2016 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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
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.
