Kathleen T. Leavitt

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CRD#: 6991142

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 Tyler Leavitt, who also goes by Kathleen Leavitt, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 2018. Kathleen had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathleen Leavitt

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2022 - December 13, 2023

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

May 4, 2022 - December 13, 2023

NUVEEN SECURITIES, LLC

CRD#: 469

LOS ANGELES, CA

Past

September 27, 2019 - March 15, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

September 27, 2019 - March 15, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 4, 2018 - September 12, 2019

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/16/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2018

General Securities Representative Examination

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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Contact information

Main Address

333 West Wacker Drive, Chicago, IL 60606

Mailing Address

Phone number

(312) 917-7700

Established

Firm type

Fiscal year end

# of Employees

373

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NUVEEN ASSET MANAGEMENT, LLC FORM ADV PART 2A (3/21/2025)

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	Cover Page	Report
12/19/2024	Cover Page	Report
12/15/2023	Cover Page	Report
12/15/2022	Cover Page	Report

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

Kathleen T. Leavitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NUVEEN SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MUFG SECURITIES AMERICAS INC.

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2019

Series 63

Date: 7/27/2018

SIE

Date: 10/5/2018

Series 7

Date: 10/4/2018

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NUVEEN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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