NUVEEN SECURITIES, LLC X-17A-5 (2017-03-01) — Broker-dealer annual report

Full text of NUVEEN SECURITIES, LLC's X-17A-5 filed 2017-03-01 (period 2016-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: NUVEEN SECURITIES, LLC
• Form: X-17A-5
• Filed: 2017-03-01
• Period: 2016-12-31
• Accession: 0000073387-17-000004
• CIK: 73387
• File #: 8-13464
• Material weakness: No
• Auditor: PricewaterhouseCoopers LLP
• Auditor location: Chicago, IL
• Contact: Halina Mikowski
• Phone: 312-917-8074
• Signed by: Sherri Hlavacek (Principal Financial Officer)

Document text (excerpt)

X-17A-5 0000073387 XXXXXXXX LIVE true false false 01-01-2016 12-31-2016 Broker-dealer N NUVEEN SECURITIES, LLC 333 WEST WACKER DRIVE CHICAGO IL 60606-1286 Halina Mikowski 312-917-8074 PricewaterhouseCoopers LLP 1 North Wacker Chicago IL 60606 Certified Public Accountant Sherri Hlavacek NUVEEN SECURITIES, LLC 12-31-2016 Sherri Hlavacek Principal Financial Officer Y

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Original filing on SEC EDGAR (source of record)