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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Maurice Flaherty is an investment advisor representative with Nuveen Asset Management, LLC, which is registered with the state of Illinois. David Maurice Flaherty has been in the industry since May 2002 and has been registered with Nuveen Asset Management, LLC since October 2015. Prior to joining Nuveen Asset Management, LLC, David Maurice Flaherty was previously registered with ALPS DISTRIBUTORS, INC. and OPPENHEIMERFUNDS DISTRIBUTOR, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Model portfolio advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
10/16/2015 - Present
Nuveen Asset Management, LLC (Chicago IL)
CO
03/19/2012 - 09/08/2015
ALPS DISTRIBUTORS, INC. (DENVER CO)
NY
10/26/2005 - 02/28/2012
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
08/24/2004 - 10/03/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/20/2003 - 07/21/2004
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
NY
08/06/2003 - 08/15/2003
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
NY
01/25/2002 - 07/18/2003
TRAUTMAN WASSERMAN & COMPANY, INC. (NEW YORK NY)
IA
Issued 10/12/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 09/03/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/24/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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