CRD #469 · FINRA BrokerCheck + SEC IAPD

Nuveen Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nuveen Securities, LLC ranks #699 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #28 of 200 on the same disclosure sort used on the state browse page. Nuveen Securities, LLC carries 10 BrokerCheck disclosures across 15 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
15
branch offices
10
disclosures
#699 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 469 Nuveen Securities, LLC

Nuveen Securities, LLC · Grade C · 10 disc · 0.67/office · Regional firm

  • CRD 469
  • GRADE C
  • DISC 10
  • REG 7
  • ARB 1
  • CIV 2
  • BRANCH 15
  • PER-OFF 0.67
  • RANK #699 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: B. C. Ziegler and Company (0.67 disc/office)

B. C. Ziegler and Company0.67Popular Securities, LLC0.67Capis0.64Nuveen Securities, LLC (this)0.67
Disclosures per office among regional firm peers (lower is cleaner)

Nuveen Securities, LLC ranks #699 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.67 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

15 offices

FINRA: Medium firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

7 actions

70% of all disclosures

Disclosures per office

0.67 per office

10 ÷ 15 offices

Nuveen Securities, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 38% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 7
Arbitrations 1
Civil Events 2
Total 10

Counts for Nuveen Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 7 Arbitration 1 Civil 2

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Chicago, IL
CRD Number
469

Heavy disclosure book

Nuveen Securities, LLC in the heavier-disclosure third

Nuveen Securities, LLC carries 10 BrokerCheck disclosures across 15 branch offices - a heavier-third raw book among graded firms (#699 of 20,055). Regulator-initiated events are 70% of the book (7 regulatory / 1 arbitration / 2 civil).

Nuveen Securities, LLC ranks #699 of 20,055 by BrokerCheck disclosure count among graded firms (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Nuveen Securities, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 1.96× state average

Nuveen Securities, LLC sits above the Illinois disclosure average

Nuveen Securities, LLC reports 10 BrokerCheck disclosures, 1.96× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Nuveen Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nuveen Securities, LLC ranks #699 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #28 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Nuveen Securities, LLC?
A grade of C reflects Nuveen Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 10 total disclosures across 15 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Nuveen Securities, LLC have?
Nuveen Securities, LLC has 10 total FINRA disclosures, including 7 regulatory events, 1 arbitration, 2 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Nuveen Securities, LLC?
Nuveen Securities, LLC operates 15 branch offices and is classified by FINRA as a medium firm, registered in IL (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Nuveen Securities, LLC's disciplinary record?
You can verify Nuveen Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 469. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Nuveen Securities, LLC's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Nuveen Securities, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Nuveen Securities, LLC carries 10 disclosures across 15 branch offices (about 0.67 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Nuveen Securities, LLC, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • B. C. Ziegler and Company (IL) - 0.67 disclosures/office, nearest regional firm peer to Nuveen Securities, LLC's 0.67
  • Popular Securities, LLC (PR) - 0.67 disclosures/office, nearest regional firm peer to Nuveen Securities, LLC's 0.67
  • Capis (TX) - 0.64 disclosures/office, nearest regional firm peer to Nuveen Securities, LLC's 0.67
  • Firms in IL - state roster that includes Nuveen Securities, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Nuveen Securities, LLC.
  • Reading BrokerCheck Reports - How Nuveen Securities, LLC's 0.67 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Nuveen Securities, LLC.
  • Compare firms - put Nuveen Securities, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.