Full text of NUVEEN SECURITIES, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## NUVEEN SECURITIES, LLC Statement of Financial Condition December31,2022 (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: l 2 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-BD-13464 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ____<br>Ol_/_O_l/_2_02_2 | __ AND ENDING ___ 1 | __<br>2<br>1<br>1_3<br>f_l_0_22<br>_<br>_ | | |--------------------------------------------------------------|---------------------------------------------------------------------------|------------------------------------------|-------------------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | __<br>NAME OF FIRM: | N_u_v_ee_n_Se_c_u_r_it_ie_s_, L_L_c | | _____________________<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | ✓ Broker-dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 333 West Wacker Drive | | | | | | | (No. and Street) | | | | | Chicago | IL | | 60606 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | (704) 988-6038<br>DBarber@tiaa.org<br>David L. Barber | | | | | | (Name)<br>(Area Code-Telephone Number) | | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | PricewaterhouseCoopers LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 76 Laura Street | Jacksonville | FL | 32202 | | | (Address) | (City) | (State) | (Zip Code) | | | October 20, 2003 | | | 238 | | | T"' of Reg;strafioo w;th PCAOBII• appUo,ble) | | (PCAOB R,g;strafioo N•mbec, • appUo,ble) | | | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied…Read the full text as markdown