NUVEEN SECURITIES, LLC X-17A-5 (2020-02-28) — Broker-dealer annual report

Full text of NUVEEN SECURITIES, LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). 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: 2020-02-28
• Period: 2019-12-31
• Accession: 0000073387-20-000004
• CIK: 73387
• File #: 8-13464
• Material weakness: No
• Auditor: PricewaterhouseCoopers,LLP
• Auditor location: Charlotte, NC
• Contact: Christy R. Lee
• Phone: 704-988-2409
• Signed by: Christy R. Lee (Chief Financial Officer)

Document text (excerpt)

X-17A-5 0000073387 XXXXXXXX LIVE false false false 01-01-2019 12-31-2019 Broker-dealer N NUVEEN SECURITIES, LLC 333 WEST WACKER DRIVE CHICAGO IL 60606-1286 Christy R. Lee 704-988-2409 PricewaterhouseCoopers,LLP 214 North Tryon Street, Suite 4200 Charlotte NC 28202 Certified Public Accountant Christy R. Lee NUVEEN SECURITIES, LLC 02-28-2020 Christy R. Lee Chief Financial Officer Y

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Original filing on SEC EDGAR (source of record)