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 |
|---|---|---|---|---|---|---|---|---|
| Bradford Ritter Bracey | 6225023 | 3 | 09/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Landgraf Batina | 1215803 | 1 | 07/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradford Ritter Bracey | 6225023 | 3 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradford Ritter Bracey | 6225023 | 3 | 05/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Weathered | 7170490 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Patrick Cribbin | 5943500 | 1 | 10/01/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shanita Spivey Smith | 5174146 | 1 | 08/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Beth Zeitlen | 2151558 | 2 | 05/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Beth Zeitlen | 2151558 | 2 | 05/02/2016 | Financial | Final | $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 |