Full text of NUVEEN SECURITIES, LLC's X-17A-5 filed 2026-02-27 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # NUVEEN SECURITIES, LLC Statement of Financial Condition December 31, 2025 (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: **Nov.** 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5** | SEC Fil£ NUMBER | | |-----------------|--| | 8-BD-13464 | | **FACING PAGE** **PART Ill** **Information Required Pursuant to Rules 17a-S,** 17a-12, **and lla-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01/Q1/2025 MM/DD/YY AND ENDING \_1 \_2/\_3\_1\_/2\_0\_2\_5 \_\_ MM/DD/YY **A. REGISTRANT** IDENTIFICATION NAME oF FIRM: N uveen Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): G Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer 0 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 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 60606 (Zip Code) Jennifer Mangano (212)-207-2049 jennifer.mangano@nuveen.com (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 namel 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 OFFICIAL USE ONLY** • Oaims 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)(iil, 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.** {2}------------------------------------------------ #### OATH **OR AFFIRMATION** | I,<br>Jennifer Mangano | | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------------------------------------------------------------|----|-------------------…Read the full text as markdown