RIA Intelligence

NUVEEN CAPITAL MARKETS LLC

CRD #301204 SEC #801-117462 SAN FRANCISCO, CA 415-433-2401
SEC Registered Private Funds
Total AUM
$0
Discretionary
$0
Employees
25
Clients
--
Accounts
0

Firm Details

Organization Type
Limited Liability Company
State of Formation
Delaware
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Sep 9, 2019
Branch Offices
2

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
GRENVILLE, THOMAS, EMILIMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICERNA Control
GUTIERREZ, JORGE, CLAUDIOIVP, TREASURERNA Control
GUTIERREZ, JORGE, CLAUDIOIVP, TREASURERNA Control
GUTIERREZ, JORGE, CLAUDIOIVP, TREASURERNA Control
GUTIERREZ, JORGE, CLAUDIOIVP, TREASURERNA Control
Grenville, ThomasIMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICERNA Control
Grenville, ThomasIMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICERNA Control
Grenville, ThomasIMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICERNA Control
MCCARTHY, KEVIN, JISECRETARYNA Control
MCCARTHY, KEVIN, JISECRETARYNA Control
MCCARTHY, KEVIN, JISECRETARYNA Control
MCCARTHY, KEVIN, JEROMEISECRETARYNA Control
MINAYA, JOSE, MANUELIEVP, PRESIDENT, GLOBAL INVESTMENTSNA Control
MINAYA, JOSE, MANUELIEVP, PRESIDENT, GLOBAL INVESTMENTSNA Control
MINAYA, JOSE, MANUELIEVP, PRESIDENT, GLOBAL INVESTMENTSNA Control
MINAYA, JOSE, MANUELIEVP, PRESIDENT, GLOBAL INVESTMENTSNA Control
PIERRE-MERRITT, MARJORIE, NMNIVP, CORPORATE SECRETARYNA Control
PIERRE-MERRITT, MARJORIE, NMNIVP, CORPORATE SECRETARYNA Control
PIERRE-MERRITT, MARJORIE, NMNIVP, CORPORATE SECRETARYNA Control
PIERRE-MERRITT, MARJORIE, NMNIVP, CORPORATE SECRETARYNA Control
STENERSEN, JAMES, STONEISENIOR MANAGING DIRECTORNA Control
STENERSEN, JAMES, STONEISENIOR MANAGING DIRECTORNA Control
STENERSEN, JAMES, STONEISENIOR MANAGING DIRECTORNA Control
STENERSEN, JAMES, STONEISENIOR MANAGING DIRECTORNA Control
Wachter, Austin, PennIMANAGING DIRECTOR, CONTROLLERNA Control
Wachter, Austin, PennIMANAGING DIRECTOR, CONTROLLERNA Control
Wachter, Austin, PennIMANAGING DIRECTOR, CONTROLLERNA Control
Wachter, Austin, PennIMANAGING DIRECTOR, CONTROLLERNA Control
NUVEEN INVESTMENTS, INC.DEMANAGING MEMBERE Control
NUVEEN INVESTMENTS, INC.DEMANAGING MEMBERE Control
NUVEEN INVESTMENTS, INC.DEMANAGING MEMBERE Control
NUVEEN INVESTMENTS, INC.DEMANAGING MEMBERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
NUVEEN FINANCE, LLCDENUVEEN HOLDINGS 1, INC.E Control
NUVEEN FINANCE, LLCDENUVEEN HOLDINGS 1, INC.E Control
NUVEEN FINANCE, LLCDENUVEEN HOLDINGS 1, INC.E Control
NUVEEN FINANCE, LLCDENUVEEN HOLDINGS 1, INC.E Control
NUVEEN HOLDINGS 1, INC.DENUVEEN HOLDINGS, INC.E Control
NUVEEN HOLDINGS 1, INC.DENUVEEN HOLDINGS, INC.E Control
NUVEEN HOLDINGS 1, INC.DENUVEEN HOLDINGS, INC.E Control
NUVEEN HOLDINGS 1, INC.DENUVEEN HOLDINGS, INC.E Control
NUVEEN HOLDINGS, INC.DENUVEEN INVESTMENTS, INC.E Control
NUVEEN HOLDINGS, INC.DENUVEEN INVESTMENTS, INC.E Control
NUVEEN HOLDINGS, INC.DENUVEEN INVESTMENTS, INC.E Control
NUVEEN HOLDINGS, INC.DENUVEEN INVESTMENTS, INC.E Control
NUVEEN, LLCDENUVEEN FINANCE, LLCE Control
NUVEEN, LLCDENUVEEN FINANCE, LLCE Control
NUVEEN, LLCDENUVEEN FINANCE, LLCE Control
NUVEEN, LLCDENUVEEN FINANCE, LLCE Control
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICADENUVEEN, LLCE Control
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICADENUVEEN, LLCE Control
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICADENUVEEN, LLCE Control
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICADENUVEEN, LLCE Control
TIAA BOARD OF OVERSEERSDETEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAE Control
TIAA BOARD OF OVERSEERSDETEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAE Control
TIAA BOARD OF OVERSEERSDETEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAE Control
TIAA BOARD OF OVERSEERSDETEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAE Control

Registrations

Federal

IA
Sep 9, 2019 REGISTERED

Address

560 MISSION ST, 9TH FLOOR
SAN FRANCISCO, CA 94105
United States
Phone: 415-433-2401