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James Mark Polito

Nuveen Asset Management, LLC

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About James Mark Polito

James Mark Polito is a financial advisor with Nuveen Asset Management, LLC and has over 20 years of experience in the financial services industry. James has been registered with the Securities and Exchange Commission (SEC) since 2017 and is licensed to provide investment advice in 54 states. Before joining Nuveen Asset Management, LLC James worked at MBSC Securities Corporation and MFS Fund Distributors, Inc.

Firm Information

James Polito is currently registered with Nuveen Asset Management, LLC. Nuveen Asset Management, LLC is an investment adviser with offices in CHICAGO, IL. The firm manages over $239 billion in assets for clients, including individuals, corporations, insurance companies, investment companies, charitable organizations, and pension and profit-sharing plans. Nuveen provides portfolio management services, including discretionary and non-discretionary services. The firm also offers other advisory services, such as model portfolio advice, selection of other advisers, and pension consulting. Nuveen's client base includes a broad range of institutional and individual investors.
Nuveen Asset Management, LLC

333 WEST WACKER DRIVE

CHICAGO, IL 60606

$239.61B

Assets Under Management

22

Total Clients

270

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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model portfolio advice

Model portfolio advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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James Polito’s Registration & Firm History

IL

10/17/2017 - Present

Nuveen Asset Management, LLC (CHICAGO IL)

NY

08/30/2012 - 03/20/2017

MBSC SECURITIES CORPORATION (NEW YORK NY)

MA

07/09/1998 - 08/24/2012

MFS FUND DISTRIBUTORS, INC. (BOSTON MA)

PA

06/28/1995 - 06/17/1998

FEDERATED SECURITIES CORP. (PITTSBURGH PA)

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Licenses & Designations

IA

Issued 03/28/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/14/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2013

Series 7 - General Securities Representative Examination

BC

Issued 06/08/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Mark Polito.
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