AB
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
262 advisors
Number of Clients
71,370 clients
Average Client Portfolio
$3.6M average
Assets Under Management
$259.9B
Fee Structure
Financial Planning:Investment management only
This brochure does not contain specific fee schedules or ranges. Fees for Institutional Separate Accounts are individually negotiated. For Retail SMAs, fees are determined by wrap fee programs or dual contract arrangements. Clients are responsible for selecting a Designated Cash Sweep Vehicle for uninvested cash.
Areas of Practice
Investment Management
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Advisor Information
Office location
333 West Wacker Drive, Chicago, IL, 60606
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Nuveen Asset Management, LLC
December 2020 - Present · 5 yrs 1 mo
Nuveen Securities, LLC
November 2020 - Present · 5 yrs 2 mos
Nuveen Securities, LLCBroker
November 2020 - Present · 5 yrs 2 mos
Previous Registrations
Hsbc Securities (usa) INC. Broker
October 2015 - November 2020 · 5 yrs 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.