NUVEEN ASSET MANAGEMENT, LLC of CHICAGO, IL is an SEC-registered investment adviser (CRD 155584). Regulatory assets under management: $280.5B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Saira Ann Malik | EXECUTIVE VICE PRESIDENT | San Francisco, CA |
| Stuart Jona Cohen | MANAGING DIRECTOR, HEAD OF LEGAL | Chicago, IL |
| Jon Mitchell Stevens | SENIOR MANAGING DIRECTOR | Minneapolis, MN |
| Travis Martin Pauley | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| Megan Eileen Sendlak | CONTROLLER | Chicago, IL |
| William Thomas Huffman | PRESIDENT | — |
| Konyinsola Kehinde Akibayo | CONTROLLER | — |
| HUFFMAN GARY THOMAS | PRESIDENT | — |
| HUFFMAN WILLIAM T | PRESIDENT | — |
| COHEN STUART JONA | MANAGING DIRECTOR, HEAD OF LEGAL | — |
| KEEFE MARY ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| PAULEY TRAVIS MARTIN | CHIEF COMPLIANCE OFFICER | — |
| SCHREIER THOMAS STEPHEN | CHAIRMAN; CHAIRMAN (SEE SCH. D, MISC. | — |
| MANZONI CHARLES R | CHIEF OPERATING OFFICER AND GENERAL COUNSEL; GENERAL COUNSEL; GENERAL COUNSEL (SEE SCH. D, MISC.) | — |
| HLAVACEK SHERRI A | CONTROLLER; CORPORATE CONTROLLER | — |
| MALIK SAIRA ANN | EXECUTIVE VICE PRESIDENT | — |
| STEVENS JON MITCHELL | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR | — |
| MEGGS DIANE S | CHIEF COMPLIANCE OFFICER | — |
| WACHTER AUSTIN PENN | CONTROLLER | — |
| van Etten Frank Michiel | HEAD OF NUVEEN SOLUTIONS | — |
| Sendlak Megan | CONTROLLER | — |
| Sendlak Megan Eileen | CONTROLLER | — |
| 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 |