Full text of NUVEEN SECURITIES, LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | | |----------------|--| | FORM X-17 A-5 | | | PART Ill | | | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | 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 **\_\_ 0\_1\_/0\_1\_/\_2\_02\_3\_** AND ENDING **\_\_ 1\_2\_/3\_1 /\_2\_0\_2\_3\_** MM/DD/VY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: \_\_ N\_u\_v\_e\_e\_n\_S\_e\_c\_u\_r\_it\_ie\_s\_,\_L\_L\_C\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 333 West Wacker Drive (No. and Street) Chicago IL (Oty) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 60606 {Zip Code) David L. Barber (704) 988-6038 DBarber@tiaa.org (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this **filing\*** PricewaterhouseCoopers LLP (Name - if individual, state last, first, and middle name) 76 Laura Street Jacksonville FL (Address) (City) (State) October 20, 2003 238 32202 (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **FOR OFFIOAL 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 on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(il), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | swear {or affirm) that, to the best of my knowledge and belief, the<br>I,<br>Dal/id L. Barber<br>financial report pertaining to the firm of<br>as of<br>Nuveen Securities. LLC<br>2~,<br>12/31<br>is true and correct. I further swear (or affirm) that neither the company nor any<b…Read the full text as markdown