Unclaimed
Richard William Baur is a financial advisor who has been in the industry since September 18, 1996. Richard is currently registered as a Registered Representative and Investment Advisor Representative with Nuveen Asset Management, LLC. Richard holds licenses for both securities and investment advising. He has been with Nuveen Asset Management, LLC since September 2011. Richard is licensed to practice in 53 states and the District of Columbia.
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
04/13/2012 - Present
Nuveen Asset Management, LLC (CHICAGO IL)
IA
Issued 05/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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