| Ellen Frances Mccloskey | Northern Trust Investments, Incorporated other | Nuveen Asset Management, LLC mixed wealth | Other | Mar 22, 2017 | May 16, 2026 (3342 d) |
| James Mark Polito | Bny Mellon Securities Corporation other | Nuveen Asset Management, LLC other | Other | Mar 20, 2017 | Oct 17, 2017 (211 d) |
| Kenneth Louis Riffle | Tradewinds Global Investors, LLC other | Nuveen Asset Management, LLC other | Other | Nov 30, 2016 | Aug 26, 2016 |
| Reed David Walters | Tradewinds Global Investors, LLC other | Nuveen Asset Management, LLC other | Other | Nov 30, 2016 | Aug 22, 2016 |
| William Lewis Gurner | Tradewinds Global Investors, LLC other | Nuveen Asset Management, LLC other | Other | Nov 30, 2016 | Aug 26, 2016 |
| Daniel Patrick Driscoll | Tradewinds Global Investors, LLC other | Nuveen Asset Management, LLC other | Other | Nov 30, 2016 | Aug 26, 2016 |
| Justine Chin Walker | Advice And Planning Services other | Nuveen Asset Management, LLC other | Other | Nov 10, 2016 | Jan 4, 2017 (55 d) |
| Jennifer Wellins | Charles Schwab & Co., Inc. national BD | Nuveen Asset Management, LLC other | Other | Nov 8, 2016 | Dec 11, 2017 (398 d) |
| Shaun Michael Perini | Wells Fargo Advisors wirehouse | Nuveen Asset Management, LLC other | Other | Nov 7, 2016 | Nov 14, 2016 |
| Aaron Wayne Bouronich | Wells Fargo Advisors wirehouse | Nuveen Asset Management, LLC mixed wealth | Wirehouse to independent RIA | Nov 2, 2016 | Nov 25, 2020 (1484 d) |
| Marc Walter Corigliano | Janus Henderson Investors other | Nuveen Asset Management, LLC other | Other | Sep 6, 2016 | Sep 19, 2016 |
| Sayuri Khandavilli | Lord, Abbett & Co. LLC other | Nuveen Asset Management, LLC other | Other | Aug 1, 2016 | Jan 3, 2017 (155 d) |
| James Marshall Dawson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nuveen Asset Management, LLC mixed wealth | Wirehouse to independent RIA | Jul 29, 2016 | Aug 29, 2025 (3318 d) |
| Charles P Graves | Morgan Stanley wirehouse | Nuveen Asset Management, LLC other | Other | Jul 11, 2016 | Jun 28, 2016 |
| Joshua Paul Helms | Advice And Planning Services other | Nuveen Asset Management, LLC other | Other | Jun 22, 2016 | Jan 3, 2017 (195 d) |
| Keith Allen Jones | Stifel, Nicolaus & Company, Incorporated national BD | Nuveen Asset Management, LLC other | Other | Jun 9, 2016 | Jul 7, 2016 |
| Tina Meckaroski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nuveen Asset Management, LLC other | Other | May 25, 2016 | Jun 20, 2016 |
| Madelyn Audena Palomeque | Wells Fargo Advisors wirehouse | Nuveen Asset Management, LLC other | Other | May 12, 2016 | Apr 20, 2021 (1804 d) |
| Daniel James Taylor | Manulife Investment Management (US) LLC other | Nuveen Asset Management, LLC other | Other | May 5, 2016 | Jun 9, 2016 (35 d) |
| Riley Steven Just | Monere Wealth Management, Inc. other | Nuveen Asset Management, LLC other | Other | Apr 25, 2016 | Oct 18, 2017 (541 d) |
| Jeffrey Curry Smith | Lord, Abbett & Co. LLC other | Nuveen Asset Management, LLC other | Other | Apr 1, 2016 | Jan 4, 2017 (278 d) |
| James Patrick Farrar | RBC Capital Markets, LLC national BD | Nuveen Asset Management, LLC other | Other | Mar 23, 2016 | Apr 11, 2016 |
| Marcus Velasco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nuveen Asset Management, LLC other | Other | Jan 6, 2016 | Aug 10, 2016 (217 d) |
| Bryan Scott Brooks | Geneva Advisors, LLC other | Nuveen Asset Management, LLC other | Other | Nov 27, 2015 | Jan 3, 2017 (403 d) |
| Douglas James Trinkl | William Blair & Company L.L.C. other | Nuveen Asset Management, LLC other | Other | Nov 6, 2015 | Nov 17, 2015 |
| Taylor Renee Cowdrey | Invesco Advisers, Inc. other | Nuveen Asset Management, LLC other | Other | Jul 27, 2015 | Aug 21, 2015 |
| Ryan Joelson | Invesco Advisers, Inc. other | Nuveen Asset Management, LLC other | Other | Jul 1, 2015 | May 2, 2016 (306 d) |
| Margaret Catherine Thomsen | Invesco Advisers, Inc. other | Nuveen Asset Management, LLC other | Other | Jun 12, 2015 | Jul 2, 2015 |
| Jason Louis Whitney | Invesco Advisers, Inc. other | Nuveen Asset Management, LLC other | Other | May 18, 2015 | May 15, 2015 |
| Sultana Hideko Megalos | Morgan Stanley wirehouse | Nuveen Asset Management, LLC mixed wealth | Wirehouse to independent RIA | Apr 7, 2015 | Jan 1, 2021 (2096 d) |
| Bradley Robert Yocum | Advisors Asset Management, Inc. other | Nuveen Asset Management, LLC other | Other | Jan 13, 2015 | Jan 13, 2015 |
| Sally Jo Osborne | Fifth Third Securities, Inc. other | Nuveen Asset Management, LLC other | Other | Jan 12, 2015 | May 3, 2016 (477 d) |
| Sean James Mahoney | Pnc Wealth Management other | Nuveen Asset Management, LLC other | Other | Dec 2, 2014 | May 3, 2016 (518 d) |
| Douglas Joseph Kadison | Invesco Advisers, Inc. other | Nuveen Asset Management, LLC other | Other | Nov 13, 2014 | Dec 5, 2014 |
| Anton Thomas Schirmang | Invesco Advisers, Inc. other | Nuveen Asset Management, LLC other | Other | Nov 11, 2014 | Dec 5, 2014 |
| Robert M Weldon | Lord, Abbett & Co. LLC other | Nuveen Asset Management, LLC other | Other | Oct 21, 2014 | Jun 24, 2015 (246 d) |
| Khari Edward Smith | Wells Fargo Advisors wirehouse | Nuveen Asset Management, LLC mixed wealth | Wirehouse to independent RIA | Oct 21, 2014 | Jan 16, 2021 (2279 d) |
| Peter Drebos | Envestnet Pmc other | Nuveen Asset Management, LLC other | Other | Oct 10, 2014 | Nov 5, 2014 |
| Jarret Michael Shattuck | Advisors Asset Management, Inc. other | Nuveen Asset Management, LLC other | Other | Sep 26, 2014 | Nov 14, 2014 (49 d) |
| Benjamin James Colter | Equitable Advisors, LLC national BD | Nuveen Asset Management, LLC other | Other | Jul 15, 2014 | Jul 22, 2022 (2929 d) |
| Thomas P Higgins | Morgan Stanley wirehouse | Nuveen Asset Management, LLC other | Other | Jul 7, 2014 | May 3, 2016 (666 d) |
| Christopher J Mallon | Putnam Investment Management, LLC other | Nuveen Asset Management, LLC other | Other | Jun 2, 2014 | Jun 9, 2014 |
| Chadwick Forrest Givens | Fortigent, LLC other | Nuveen Asset Management, LLC other | Other | Apr 29, 2014 | Jul 29, 2014 (91 d) |
| Robert Neil Wood | Advice And Planning Services other | Nuveen Asset Management, LLC other | Other | Apr 25, 2014 | Apr 21, 2016 (727 d) |
| Kevin Brennan | Lord, Abbett & Co. LLC other | Nuveen Asset Management, LLC other | Other | Apr 4, 2014 | Mar 20, 2014 |
| Daniel R Chambers | Wells Fargo Advisors wirehouse | Nuveen Asset Management, LLC other | Other | Apr 2, 2014 | Sep 17, 2015 (533 d) |
| Brett Allen Pierson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nuveen Asset Management, LLC other | Other | Oct 29, 2013 | Nov 19, 2013 |
| Lisa Anne Segner | Structured Asset Investors, LLC other | Nuveen Asset Management, LLC other | Other | Oct 8, 2013 | May 27, 2016 (962 d) |
| Ryan Owen Illingworth | Raymond James & Associates, Inc. national BD | Nuveen Asset Management, LLC other | Other | Aug 7, 2013 | Sep 5, 2013 |
| Mark Lester P Reyes | UBS Financial Services Inc. wirehouse | Nuveen Asset Management, LLC other | Other | Apr 22, 2013 | Nov 2, 2018 (2020 d) |
| Joseph Reeves O'Flaherty | Santa Barbara Asset Management, LLC other | Nuveen Asset Management, LLC other | Other | Mar 13, 2013 | Mar 7, 2013 |
| Brittany Siegel | UBS Financial Services Inc. wirehouse | Nuveen Asset Management, LLC other | Other | Jan 18, 2013 | Jan 29, 2013 |
| Jonathan Bradley Seiter | Manulife Investment Management (US) LLC other | Nuveen Asset Management, LLC other | Other | Dec 4, 2012 | May 11, 2015 (888 d) |
| Martin C. Perrucci | Morgan Stanley wirehouse | Nuveen Asset Management, LLC other | Other | Nov 15, 2012 | Nov 20, 2012 |
| Grady Douglas Robbins | Columbia Management Investment Advisers, LLC other | Nuveen Asset Management, LLC other | Other | Aug 7, 2012 | Mar 13, 2023 (3870 d) |
| Thomas Lee Petric | Ipi Wealth Management, Inc. other | Nuveen Asset Management, LLC other | Other | Jun 6, 2012 | Jun 15, 2012 |
| Andrew Michael Combs | William Blair & Company L.L.C. other | Nuveen Asset Management, LLC other | Other | May 15, 2012 | May 29, 2015 (1109 d) |
| Brian John Davis | Cleararc Capital, Inc. other | Nuveen Asset Management, LLC other | Other | May 10, 2012 | Oct 4, 2021 (3434 d) |
| Kevin Michael Moore | Blue Prairie Group,LLC other | Nuveen Asset Management, LLC other | Other | May 2, 2012 | Apr 4, 2012 |
| Jacklyn Joyce King | The Joseph Group Capital Management other | Nuveen Asset Management, LLC other | Other | Jan 20, 2012 | Jan 10, 2012 |