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Nuveen Securities, LLC

Active Chicago, IL

Nuveen Securities, LLC Overview

Nuveen Securities, LLC filed as a Foreign Limited Liability Company (LLC) in the State of Texas on Tuesday, March 4, 2003 and is approximately twenty-three years old, according to public records filed with Texas Secretary of State. A corporate filing is called a foreign filing when an existing corporate entity files in a state other than the state they originally filed in. This does not necessarily mean that they are from outside the United States.

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Name
Harrison Hunt 12 ~ Background Report ~	Director Assistant Secretary
Timothy R. Schwertfeger 2 ~ Background Report ~	Chairman CEO
John D. Amboian 7 ~ Background Report ~	President Director Chief Executive Officer
Scott S. Grace 13 ~ Background Report ~	Treasurer Managing Director
Peter H. D'Arrigo 1 ~ Background Report ~	Treasurer Vice President
Lucas A. Satre 7 ~ Background Report ~	Secretary General Counsel Senior Vice Presiden
John L. Maccarthy 2 ~ Background Report ~	Secretary Senior Vp Executive Vice Presi
Glenn R. Richter 1 ~ Background Report ~	Executive Vp Chief Executive Officer Chief Operating Officer Executive Vice Presi
Alan A. Brown ~ Background Report ~	Executive Vp Executive Vice Presi
Kevin J. McCarthy 9 ~ Background Report ~	Vice President Assistant Sec. Assistant Secretary Managing Director
Walter M. Kelly 3 ~ Background Report ~	Vice President Assistant Sec.
Tina M. Lazar 3 ~ Background Report ~	Vice President Senior Vice Presiden
Sherri A. Hlavacek 3 ~ Background Report ~	Vice President Controller Chief Financial Officer Corporate Controller Managing Director
Stephen D. Foy 3 ~ Background Report ~	Vice President Controller Funds Controller
William Meyers 2 ~ Background Report ~	Vice President
Christopher M. Rohrbacher 2 ~ Background Report ~	Vice President Assistant Secretary
Mark L. Winget 2 ~ Background Report ~	Vice President Assistant Secretary
Shanita S. Smith 2 ~ Background Report ~	Vice President Chief Compliance Off
Larry W. Martin 2 ~ Background Report ~	Vice President Assistant Sec. Assistant Secretary Senior Vice Presiden
David J. Lamb 2 ~ Background Report ~	Vice President
Stuart J. Cohen 2 ~ Background Report ~	Vice President Assistant Sec. Assistant Secretary Managing Director
Toygen Jean Kaihatsu 1 ~ Background Report ~	Vice President
Michael T. Atkinson 1 ~ Background Report ~	Vice President
Timothy J. Kafesjian 1 ~ Background Report ~	Vice President
James D. Grassi ~ Background Report ~	Vice President
Mark E. Flynn ~ Background Report ~	Vice President
Gifford R. Zimmerman 5 ~ Background Report ~	Assistant Sec. Assistant Secretary Managing Director
Margo L. Cook 4 ~ Background Report ~	Executive Vice Presi
Alan G. Berkshire 3 ~ Background Report ~	Senior Executive Vic
Cedric H. Antosiewicz 3 ~ Background Report ~	Managing Director
Patrick Goshtigian 3 ~ Background Report ~	Managing Director
Thomas S. Schreier 2 ~ Background Report ~	Chief Executive Officer
Kathleen L. Prudhomme 2 ~ Background Report ~	Assistant Secretary Managing Director
Lorna C. Ferguson 2 ~ Background Report ~	Managing Director
Carl M. Katerndahl 1 ~ Background Report ~	Executive Vice Presi
Jeffery M. Wilson 1 ~ Background Report ~	Senior Vice Presiden
Maureen L. Beshar 1 ~ Background Report ~	Executive Vice Presi
Paul C. Williams 1 ~ Background Report ~	Managing Director
John A. Nersesian 1 ~ Background Report ~	Managing Director
Robert B. Kuppenheimer 1 ~ Background Report ~	Managing Director
Mary E. Keefe 1 ~ Background Report ~	Chief Compliance Off Managing Director
Robert D. Luse 1 ~ Background Report ~	Assistant Secretary Executive Vice Presi
Louis A. Holland ~ Background Report ~	Managing Director
Michael H. Lewers ~ Background Report ~	Managing Director
William M. Fitzgerald ~ Background Report ~	Managing Director
Julia L. Antonatos ~ Background Report ~	Managing Director

Showing 8 records out of 46

Nuveen Securities, LLC has another company listed as an officer. It is not uncommon for one company to hold a position in another company.

Name	Status	Incorporated	Key People	Role
Nuveen Investments, Inc.	Active	1967	2	Managing Member

Florida Department of State

Filing Type:	Foreign Limited Liability
Status:	Active
State:	Florida
State ID:	M08000001960
Date Filed:	Thursday, April 24, 2008

Texas Secretary of State

Filing Type:	Foreign Limited Liability Company (LLC)
Status:	Active In existence
State:	Texas
State ID:	800180714
Date Filed:	Tuesday, March 4, 2003

California Secretary of State

Filing Type:	Foreign
Status:	Active
State:	California
Foreign State:	Delaware
State ID:	200307110163
Date Filed:	Wednesday, March 5, 2003

Corporate Notes

Source	Date	Type	Note
	3/4/2003	Application for Certificate of Authority
	12/31/2006	Public Information Report (PIR)
	12/31/2007	Public Information Report (PIR)
	12/31/2008	Public Information Report (PIR)
	12/31/2009	Public Information Report (PIR)
	4/19/2010	Change of Name or Address by Registered Agent
	12/31/2010	Public Information Report (PIR)
	5/2/2011	Application for Amended Registration
	12/31/2011	Public Information Report (PIR)
	12/31/2012	Public Information Report (PIR)
	12/2/2013	Change of Name or Address by Registered Agent
	12/31/2013	Public Information Report (PIR)
	12/31/2014	Public Information Report (PIR)
	12/31/2015	Public Information Report (PIR)
	12/31/2016	Public Information Report (PIR)
	12/31/2017	Public Information Report (PIR)
	12/31/2019	Public Information Report (PIR)

Sources

Florida Department of State
Data last refreshed on Monday, April 6, 2026

California Secretary of State
Data last refreshed on Monday, April 4, 2022

Texas Secretary of State
Data last refreshed on Saturday, March 2, 2024

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Nuveen Securities, LLC

Active Chicago, IL