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KZ

Katherine E. Zwetolitz

NUVEEN SECURITIES
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 6809998
KZ

Professional summary

Katherine Elizabeth Zwetolitz, who also goes by Katherine Zwetolitz, Katie Elizabeth Zwetolitz, Katie Zwetolitz, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.

Katherine is registered as a RR (Registered Representative) and started their career in finance in 2018. Katherine has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Zwetolitz | Katie Elizabeth Zwetolitz | Katie Zwetolitz

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katherine Elizabeth Zwetolitz's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 24, 2026 - Present

NUVEEN SECURITIES, LLC

Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262
BD
CRD#: 469
Charlotte, NC
Past

May 10, 2019 - February 11, 2020

BOFA SECURITIES, INC.

BD
CRD#: 283942
CHARLOTTE, NC
Past

August 13, 2018 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/12/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

Red Flags

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Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469Charlotte, NC 28262

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