Adviser and broker representative · Nuveen Asset Management, LLC
Spencer M. Dalton
CRD 4978311 · Chicago, IL
At a glance
Spencer M. Dalton is an investment adviser representative with Nuveen Asset Management, LLC in Chicago, IL, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Spencer’s SEC record dates to 2005, about 20 years ago. Spencer is also registered as a broker representative.
Current advisory firm
- Nuveen Asset Management, LLCSince August 2020Chicago, IL · $280B in regulatory assets
SEC adviser record
- Registered since
- 2005 (20 years)
- Designations
- None on file
- Exams
- Series 65, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Spencer’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.