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Investment Adviser Firm Summary
NUVEEN ASSET MANAGEMENT, LLC ( CRD # 155584/SEC#:801-71957 )
NUVEEN ASSET MANAGEMENT, LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/24/2010
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama11/24/2010
Alaska11/24/2010
Arizona11/24/2010
Arkansas11/24/2010
California11/24/2010
Colorado11/24/2010
Connecticut11/24/2010
Delaware11/30/2010
District of Columbia11/24/2010
Florida11/24/2010
Georgia11/24/2010
Hawaii11/24/2010
Idaho11/24/2010
Illinois11/24/2010
Indiana11/24/2010
Iowa11/24/2010
Kansas11/24/2010
Kentucky11/24/2010
Louisiana11/24/2010
Maine11/24/2010
Maryland11/24/2010
Massachusetts11/24/2010
Michigan11/24/2010
Minnesota11/24/2010
Mississippi11/24/2010
Missouri11/24/2010
Montana11/24/2010
Nebraska11/24/2010
Nevada11/24/2010
New Hampshire11/24/2010
New Jersey12/20/2010
New Mexico11/24/2010
New York11/24/2010
North Carolina11/24/2010
North Dakota11/24/2010
Ohio11/24/2010
Oklahoma11/24/2010
Oregon11/24/2010
Pennsylvania11/24/2010
Puerto Rico11/24/2010
Rhode Island11/24/2010
South Carolina11/24/2010
South Dakota11/30/2010
Tennessee11/24/2010
Texas11/24/2010
Utah11/24/2010
Vermont11/30/2010
Virgin Islands11/24/2010
Virginia11/24/2010
Washington11/24/2010
West Virginia11/24/2010
Wisconsin11/24/2010
Wyoming3/21/2018
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.