SS
Simon L. Sossoman
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7303464
SS
Professional summary
Simon Lee Sossoman, who also goes by Simon Sossoman, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Simon has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Simon Sossoman
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.
CRS (Client Relationship Summary) - RIA
Click below to view Simon Lee Sossoman's 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®
NoneExperience
Current
October 31, 2023 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
October 13, 2023 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262BD
CRD#: 469
Charlotte, NC
Past
June 2, 2021 - September 15, 2023
BARNABAS CAPITAL, LLC
BD
CRD#: 297890
CHARLOTTE, NC
Past
December 3, 2020 - May 13, 2021
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
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".
NA
NUVEEN ASSET MANAGEMENT, LLC
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(10/13/2023)
RR
Alaska(10/13/2023)
RR
Arizona(10/13/2023)
RR
Arkansas(10/13/2023)
RR
California(10/13/2023)
RR
Colorado(10/13/2023)
RR
Connecticut(10/13/2023)
RR
Delaware(10/13/2023)
RR
District of Columbia(10/13/2023)
RR
Florida(10/13/2023)
RR
Georgia(10/13/2023)
RR
Hawaii(10/13/2023)
RR
Idaho(10/13/2023)
RR
Illinois(10/13/2023)
IAR
Illinois(10/31/2023)
RR
Indiana(10/13/2023)
RR
Iowa(10/13/2023)
RR
Kansas(10/13/2023)
RR
Kentucky(10/13/2023)
RR
Louisiana(10/13/2023)
RR
Maine(10/13/2023)
RR
Maryland(10/13/2023)
RR
Massachusetts(10/13/2023)
RR
Michigan(10/13/2023)
RR
Minnesota(10/13/2023)
RR
Mississippi(10/13/2023)
RR
Missouri(10/13/2023)
RR
Montana(10/13/2023)
RR
Nebraska(10/13/2023)
RR
Nevada(10/13/2023)
RR
New Hampshire(10/13/2023)
RR
New Jersey(10/13/2023)
RR
New Mexico(10/13/2023)
RR
New York(10/13/2023)
RR
North Carolina(10/13/2023)
RR
North Dakota(10/13/2023)
RR
Ohio(10/15/2023)
RR
Oklahoma(10/13/2023)
RR
Oregon(10/13/2023)
RR
Pennsylvania(10/13/2023)
RR
Puerto Rico(10/13/2023)
RR
Rhode Island(10/13/2023)
RR
South Carolina(10/13/2023)
RR
South Dakota(10/13/2023)
RR
Tennessee(10/13/2023)
RR
Texas(10/13/2023)
RR
Utah(10/13/2023)
RR
Vermont(10/13/2023)
RR
Virgin Islands(10/13/2023)
RR
Virginia(10/13/2023)
RR
Washington(10/13/2023)
RR
West Virginia(10/13/2023)
RR
Wisconsin(10/13/2023)
RR
Wyoming(10/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
Registered Investment Advisory firm - (11/24/2010 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
