Michael F. Andrews
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.
Michael Frederick Andrews was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2011 - March 13, 2019
NUVEEN ASSET MANAGEMENT, LLC
August 13, 2001 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
July 27, 2001 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
May 23, 1997 - March 14, 2019
NUVEEN SECURITIES, LLC
August 1, 1995 - April 8, 1997
W&S BROKERAGE SERVICES, INC.
June 8, 1989 - July 5, 1995
ROYAL PALM CAPITAL, INC.
September 28, 1987 - February 28, 1989
CIS INVESTMENT CORPORATION
August 1, 1985 - September 30, 1987
TECHNOLOGY FUNDING SECURITIES CORPORATION
January 30, 1985 - July 24, 1985
HUNTINGTON INVESTMENTS, INC.
June 23, 1981 - September 4, 1984
PETRO-LEWIS SECURITIES CORPORATION
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.
