Harold Whalen
Harold Whalen is a registered investment advisor at Nuveen Asset Management, LLC, based in Chicago, IL, with 21 years of industry experience. Harold 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 West Wacker Drive, Chicago, IL, 60606
Get directionsHistory
Regulatory History (1)
Criminal
February 2001Employment History
Current Registrations
Nuveen Asset Management, LLC
Nuveen Securities, LLC
Nuveen Securities, LLCBroker
Previous Registrations
Thornburg Securities LLCBroker
Thornburg Investment Management INC
Natixis Advisors, L.P.
Natixis Distribution, L.P.Broker
Eaton Vance Management
Eaton Vance Distributors, INC.Broker
State Registrations6 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.