NUVEEN INVESTMENTS, INC

Overview

• IndustryInvestment Advice²
• HeadquartersChicago, United States²
• Incorporated inDE³
• Business address333 W Wacker Dr, Chicago, Il 60606³
• Legal formCorporation²
• LEIGXD89W4U4TMNFJGWF050²
• StatusActive²
• LEI statusLapsed (not renewed)²
• Registered addressC/O CORPORATION SERVICE COMPANY, 19808 Wilmington, United States²
• Registered withDivision of Corporations, Department of State, 2292038²

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Corporate structure

NUVEEN INVESTMENTS, INC sits at the top of its group. 5 entities, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0). Each entity in the chart links to its source.

Leadership

Who has led NUVEEN INVESTMENTS, INC, and when. Pick a name to see everywhere that person has worked.

• Chief executive officerJohn P. Amboian Nov 15, 2007 to Nov 15, 2007⁶
• ChairTimothy R. Schwertfeger Jan 18, 2006 to Nov 15, 2007⁷
• PresidentMark Anson Sep 6, 2007 to Sep 6, 2007⁸
• PresidentJohn P. Amboian Jan 18, 2006 to Aug 7, 2007⁹

Subsidiaries and ownership

Subsidiaries (GLEIF)

• SYMPHONY ASSET MANAGEMENT LLC⁴
• Santa Barbara Asset Management, LLC⁵

Ownership links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); each one cites its LEI record.

Former names

• NUVEEN INVESTMENTS INCMar 28, 2003 to Aug 12, 2016³
• NUVEEN JOHN COMPANYFeb 14, 1995 to Feb 14, 2003³

Timeline

1. Nov 15, 2007New chief executive John P. Amboian becomes CEO⁶

Filings

15 filings to the SEC since October 2021: 15 other. The latest 15:

1. Feb 10, 202513F-NT EDGAR
2. Nov 8, 202413F-NT EDGAR
3. Aug 29, 2024N-PX EDGAR
4. Aug 9, 202413F-NT EDGAR
5. May 10, 202413F-NT EDGAR
6. Feb 14, 202413F-NT EDGAR
7. Nov 14, 202313F-NT EDGAR
8. Aug 14, 202313F-NT EDGAR
9. May 12, 202313F-NT EDGAR
10. Feb 14, 202313F-NT EDGAR
11. Nov 14, 202213F-NT EDGAR
12. Aug 15, 202213F-NT EDGAR
13. May 16, 202213F-NT EDGAR
14. Feb 11, 202213F-NT EDGAR
15. Nov 12, 202113F-NT EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

SEC filer profile

How NUVEEN INVESTMENTS, INC is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARNUVEEN INVESTMENTS, INC¹
• CIK0000885708
• Employer ID (EIN)36-3817266¹
• Incorporated inDelaware¹
• Fiscal year endsDecember 31¹
• Industry code (SIC)6282 Investment Advice¹
• SEC reviewing officeOffice of Finance, Division of Corporation Finance¹
• Business address333 W Wacker Dr, Chicago, IL 60606¹
• Mailing address333 West Wacker Dr, Chicago, IL 60606¹
• Phone3129177700¹
• On EDGAR sinceFeb 14, 1995¹
• Filings666 in all: 4 (253), 8-K (87), 13F-NT (77), SC 13G/A (43), 10-Q (37), SC 13G (18), 3 (12), DEF 14A (12)¹
  All 44 form types

  DEFA14A (12), 10-K (11), 5 (9), SC 13D (9), 424B2 (8), SC 13D/A (8), UPLOAD (6), S-8 (5), S-8 POS (5), 40-APP/A (4), 5/A (4), 8-K/A (4), CORRESP (4), S-4/A (4), 13F-HR (3), 4/A (3), EFFECT (3), 10-K405 (2), 15-12B (2), 424B3 (2), ARS (2), POS AM (2), S-4 (2), 13F-HR/A (1), 13F-NT/A (1), 25-NSE (1), 424B4 (1), DEFM14A (1), DEFR14A (1), N-PX (1), PRE 14A (1), PREM14A (1), RW (1), S-3 (1), S-3/A (1), S-3MEF (1)

• Latest filingsAnnual report (10-K) Mar 31, 2010
  Quarterly report (10-Q) Nov 12, 2009
  Proxy statement (DEF 14A) Apr 6, 2007
  Latest 8-K (8-K) Dec 13, 2010