NUVEEN FUND ADVISORS, LLC of CHICAGO, IL is an SEC-registered investment adviser (CRD 104626). Regulatory assets under management: $186.3B.
Compensation: % of AUM.
Clients served: Charities, Investment cos.
Showing 25 of 59 people.
| Name | Role | Location |
|---|---|---|
| Cinda Dawn Whitten | HEAD OF GLOBAL INVESTMENT OPERATIONS | NEW YORK, NY |
| John Michael McCann | MANAGING DIRECTOR, GENERAL COUNSEL & ASSISTANT SECRETARY | Charlotte, NC |
| Erik Peter Mogavero | CHIEF COMPLIANCE OFFICER | — |
| Oluseun S Salami | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Nathanael Pennington Jones | PRESIDENT | — |
| MOGAVERO ERIK PETER | CHIEF COMPLIANCE OFFICER | — |
| HUFFMAN WILLIAM T | CHIEF OPERATING OFFICER | — |
| SCHWERTFEGER TIMOTHY RAYMOND | CHAIRMAN, CEO AND DIRECTOR | — |
| AMBOIAN JOHN PETER | PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT AND DIRECTOR | — |
| COHEN STUART JONA | MANAGING DIRECTOR, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL; VICE PRESIDENT AND ASSISTANT SECRETARY; VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL | — |
| WILSON MARGARET EILEEN | SR. V.P. AND CONTROLLER | — |
| KEEFE MARY E | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR AND DIRECTOR OF COMPLIANCE | — |
| MARTIN LARRY WOODS | VICE PRESIDENT AND ASSISTANT SECRETARY; VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL | — |
| MACCARTHY JOHN L | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY; SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | — |
| KEEFE MARY ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| FITZGERALD WILLIAM M | MANAGING DIRECTOR; VICE PRESIDENT | — |
| ZIMMERMAN GIFFORD ROSS | CHIEF LEGAL OFFICER; CO-GENERAL COUNSEL; MANAGING DIRECTOR AND ASSISTANT SECRETARY | — |
| STENWALL ANDREW JOHN | MANAGING DIRECTOR | — |
| CROSSLEY LISA DIANE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| PERRY PAUL ANDREW | EXECUTIVE VICE PRESIDENT | — |
| MILLER HOLLY HYLTON | HEAD OF GLOBAL INVESTMENT OPERATIONS | — |
| ADAMS ROBERT WILLIAM | CO-PRESIDENT | — |
| SCHREIER THOMAS STEPHEN | CO-PRESIDENT | — |
| HLAVACEK SHERRI A | CONTROLLER; VP & CORPORATE CONTROLLER | — |
| RICHTER GLENN ROBERT | EXECUTIVE VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-03-03 | regulatory | THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AN… | Final | $18K |
| 2016-03-17 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS. | Final | $18K |
| 2014-06-30 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS. | Final | $2K |
| City | State | Employees | Phone |
|---|---|---|---|
| CHARLOTTE | NC | 4 | 704-988-1000 |
| NEW YORK | NY | 4 | 212-490-9000 |
| MINNEAPOLIS | MN | 1 | 612-303-3381 |
| SAN FRANCISCO | CA | 1 | 415-533-2401 |
| LONDON | — | 1 | +44 20 3727 80 |
| LONDON | — | 1 | +44 20 3727 80 |