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FIRM PROFILE
Overview
NUVEEN SECURITIES, LLC is located at 333 West Wacker Drive, Chicago, IL 60606-1286 and was first established at Chicago, Delaware in 09/07/1967. After operating for 59 years, NUVEEN SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of NUVEEN SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. NUVEEN SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at NUVEEN SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 10 disclosures, 7 being regulatory events, 2 being client events, and 1 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access NUVEEN SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at NUVEEN SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for NUVEEN SECURITIES, LLC Comes From
Understanding the Statistics for NUVEEN SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
333 West Wacker Drive, Chicago, IL 60606-1286
333 West Wacker Drive, Chicago, IL 60606-1286
Medium
(312) 917-7700
Delaware since 09/07/1967
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at NUVEEN SECURITIES, LLC
George Anthony Loures III
Sean Brooks Jones
Ashley Miranda Angulo
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