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Advisor at NUVEEN ASSET MANAGEMENT, LLC
Chicago, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| NUVEEN ASSET MANAGEMENT, LLC | Mixed wealth | Mar 25, 2019 | n/a | yes | Chicago, IL | Current employment |
| ALERA INVESTMENT ADVISORS, LLC | Mixed wealth | Nov 3, 2017 | Mar 8, 2019 | no | DEERFIELD, IL|Chicago, IL | Previous registration |
| SECURIAN FINANCIAL SERVICES, INC. | Former SEC adviser | Sep 20, 2016 | Nov 2, 2017 | no | Deerfield, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ALERA INVESTMENT ADVISORS, LLC | NUVEEN ASSET MANAGEMENT, LLC | Mar 8, 2019 | Mar 25, 2019 | 17 | Firm change | RIA to RIA |
| SECURIAN FINANCIAL SERVICES, INC. | ALERA INVESTMENT ADVISORS, LLC | Nov 2, 2017 | Nov 3, 2017 | 1 | Bulk transfer | Other |