David Flaherty is a registered investment advisor at Nuveen Asset Management, LLC, based in Chicago, IL, with 23 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 71,370 clients with $260B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Nuveen Asset Management (NAM) manages investments for institutional clients and individuals through managed account programs. Fees are based on a percentage of the assets managed. The specific fees vary depending on the type of client, the asset class, and the size of the account. Fees and minimum account sizes are negotiable. Some existing clients may pay different fees than new clients. NAM may invest client assets in affiliated funds, and may waive investment advisory fees on the assets invested in such affiliated funds.
Location
333 W. Wacker Drive, Chicago, IL, 60606
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Regulatory History
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.
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David owns rental property since 2017. This activity is not investment-related.
Employment History
Current Registrations
Nuveen Asset Management, LLC
Nuveen Securities, LLC
Nuveen Securities, LLCBroker
Previous Registrations
Alps Distributors, INC.Broker
Oppenheimerfunds Distributor, INC.Broker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Hold Brothers On-Line Investment Services L.L.C.Broker
Hold Brothers On-Line Investment Services L.L.C.Broker
Trautman Wasserman & Company, INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.