Raymond J. Zukowski

NUVEEN SECURITIES

SAN FRANCISCO, CA 94105

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CRD#: 6840526

Professional summary

Raymond John Zukowski Jr., who also goes by Rj Zukowski, Raymond John Zukowski Jr, Raymond John Zukowski, Raymond Zukowski Jr, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in San Francisco, California.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 2017. Raymond has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rj Zukowski | Raymond John Zukowski Jr | Raymond John Zukowski | Raymond Zukowski Jr

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 Raymond John Zukowski Jr.'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

June 20, 2024 - Present

NUVEEN SECURITIES, LLC

Office #1: 560 Mission Street, San Francisco, CA 94105

CRD#: 469

SAN FRANCISCO, CA

Past

February 22, 2019 - May 14, 2024

STARWOOD CAPITAL, L.L.C.

CRD#: 146057

GREENWICH, CT

Past

May 7, 2018 - February 6, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CLARKSVILLE, MD

Past

May 7, 2018 - February 6, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CLARKSVILLE, MD

Past

March 1, 2018 - May 3, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ROCKVILLE, MD

Past

October 23, 2017 - May 3, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

ROCKVILLE, MD

State Registrations and Notice Filings

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

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

Alabama
(6/20/2024)

Alaska
(6/20/2024)

Arizona
(6/20/2024)

Arkansas
(6/20/2024)

California
(6/20/2024)

Colorado
(6/20/2024)

Connecticut
(6/20/2024)

Delaware
(6/20/2024)

District of Columbia
(6/20/2024)

Florida
(6/20/2024)

Georgia
(6/20/2024)

Hawaii
(6/20/2024)

Idaho
(6/20/2024)

Illinois
(6/20/2024)

Indiana
(6/20/2024)

Iowa
(6/20/2024)

Kansas
(6/20/2024)

Kentucky
(6/20/2024)

Louisiana
(6/20/2024)

Maine
(6/20/2024)

Maryland
(6/20/2024)

Massachusetts
(6/20/2024)

Michigan
(6/20/2024)

Minnesota
(6/20/2024)

Mississippi
(6/20/2024)

Missouri
(6/20/2024)

Montana
(6/20/2024)

Nebraska
(6/20/2024)

Nevada
(6/20/2024)

New Hampshire
(6/20/2024)

New Jersey
(6/20/2024)

New Mexico
(6/20/2024)

New York
(6/20/2024)

North Carolina
(6/20/2024)

North Dakota
(6/20/2024)

Ohio
(6/20/2024)

Oklahoma
(6/20/2024)

Oregon
(6/20/2024)

Pennsylvania
(6/20/2024)

Puerto Rico
(6/20/2024)

Rhode Island
(6/20/2024)

South Carolina
(6/20/2024)

South Dakota
(6/20/2024)

Tennessee
(6/20/2024)

Texas
(6/20/2024)

Utah
(6/20/2024)

Vermont
(6/20/2024)

Virgin Islands
(6/20/2024)

Virginia
(6/20/2024)

Washington
(6/20/2024)

West Virginia
(6/20/2024)

Wisconsin
(6/20/2024)

Wyoming
(6/20/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/23/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER
CARLIN, JEFFREY DENNIS	CHIEF EXECUTIVE OFFICER	2684780
MANGANO, JENNIFER LYNN	CHIEF FINANCIAL OFFICER	7659359
SATRE, LUCAS ARTHUR	GENERAL COUNSEL	2208099
SMITH, SHANITA SPIVEY	CHIEF COMPLIANCE OFFICER	5174146

Disclosures

Regulatory Event	7
Civil Event	2
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Raymond J. Zukowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raymond John Zukowski Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

STARWOOD CAPITAL, L.L.C.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2018

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2017

FINRA

Current Firm

NUVEEN SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NUVEEN SECURITIES, LLC

TRUST BUT VERIFY

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