Daniel Roach
Financial Professional at Nuveen Asset Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Daniel Roach is a financial professional associated with Nuveen Asset Management, LLC in Chicago, IL, where they have been associated since 2025. They have worked in the securities industry since 2002 and have been registered with 4 firms, including Advice and Planning Services and Wells Fargo Advisors Financial Network, LLC. They have passed 8 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal).
Office
Advisors at this office: 244
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Nuveen Asset Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Firm account minimum
- $100,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 261
- Offices listed on AdvisorFinder:
- 15
- Main office:
- Chicago, IL
- SEC file number:
- 801-71957
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 24, 2026
View full firm profileOther advisors at Nuveen Asset Management, LLC
Showing 12 of 261 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Roach has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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