Our Staff has compiled our research into a database of FINRA Broker Disclosures for Nuveen Securities, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Sean Patrick Cribbin | 5943500 | 1 | 10/01/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nolan Robert Dunn | 7135910 | 1 | 04/24/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leo Augustine Reed | 4384330 | 1 | 12/01/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Peter Farrell | 2849978 | 1 | 03/15/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darniel London | 3088523 | 1 | 07/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |