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Shawn A Polk

Nuveen Asset Management, LLC

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About Shawn A Polk

Shawn Polk is an investment advisor representative with Nuveen Asset Management, LLC. Shawn has been in the financial services industry since 2014. Shawn has a Series 6, 7, 63, and 65 licenses. Shawn is registered to provide securities and investment advisory services in 53 states. Previously, Shawn was registered with TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC and J.P. MORGAN SECURITIES LLC.

Firm Information

Shawn Polk 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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Shawn Polk’s Registration & Firm History

IL

04/26/2022 - Present

Nuveen Asset Management, LLC (CHICAGO IL)

NC

09/22/2014 - 11/13/2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

IL

02/03/2014 - 09/17/2014

J.P. MORGAN SECURITIES LLC (CHICAGO IL)

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Licenses & Designations

IA

Issued 07/21/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/13/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/13/2016

Series 7 - General Securities Representative Examination

BC

Issued 02/03/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shawn A Polk.
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