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  5. NUVEEN INVESTMENTS, INC.

NUVEEN INVESTMENTS, INC.

Company Details

Entity Name: NUVEEN INVESTMENTS, INC.
Jurisdiction: Illinois
Entity Type: Corporation - Foreign BCA
Status: Goodstanding
Date Formed: 15 May 1992
Company Number: CORP_56834303
File Number: 56834303
Type of Business: All Inclusive Purpose
Place of Formation: DELAWARE

Unique Entity ID

Unique Entity ID Expiration Date Physical Address Mailing Address
DVPUNMKG3AB4 2022-06-26 582 HAZELCREST DR, RANTOUL, IL, 61866, 1105, USA 582 HAZELCREST DR, RANTOUL, IL, 61866, USA

Business Information
Division Name N/A
Division Number N/A
Congressional District 15
State/Country of Incorporation IL, USA
Activation Date 2020-10-01
Initial Registration Date 2019-09-17
Entity Start Date 1965-01-01
Fiscal Year End Close Date Dec 31

Service Classifications
NAICS Codes 238210
Product and Service Codes 6145, 6150, 6210, 6240, J061, N059, N061

Points of Contacts
Electronic Business
Title PRIMARY POC
Name JOI A DAY
Role OFFICE MANAGER
Address 582 HAZELCREST DR, RANTOUL, IL, 61866, USA
Government Business
Title PRIMARY POC
Name JOI A DAY
Role OFFICE MANAGER
Address 582 HAZELCREST DR, RANTOUL, IL, 61866, USA
Past Performance Information not Available

Central Index Key

CIK number Mailing Address Business Address Phone
1126543 No data NUVEEN INVESTMENTS, 333 WEST WACKER DR, CHICAGO, IL, 60606 No data

Filings since 2002-02-15
Form type 40-6C/A
File number 812-12296-02
Filing date 2002-02-15
File View File

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2015 363817266 2016-03-11 NUVEEN INVESTMENTS, INC. 0
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1969-10-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Plan administrator’s name and address
Administrator’s EIN 362894752
Plan administrator’s name RETIREMENT PLAN COMMITTEE OF THE NUVEEN INVESTMENTS EMPLOYEES
Plan administrator’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Administrator’s telephone number 3129178005

Number of participants as of the end of the plan year
Active participants 0
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 0
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants with account balances as of the end of the plan year 0
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 0

Signature of
Role Plan administrator
Date 2016-03-11
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2014 363817266 2015-10-15 NUVEEN INVESTMENTS, INC. 577
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1969-10-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Plan administrator’s name and address
Administrator’s EIN 362894752
Plan administrator’s name RETIREMENT PLAN COMMITTEE OF THE NUVEEN INVESTMENTS EMPLOYEES
Plan administrator’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Administrator’s telephone number 3129178005

Number of participants as of the end of the plan year
Active participants 0
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 0
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 0

Signature of
Role Plan administrator
Date 2015-10-15
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2015-10-15
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2013 363817266 2014-10-15 NUVEEN INVESTMENTS, INC. 583
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1969-10-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Plan administrator’s name and address
Administrator’s EIN 362894752
Plan administrator’s name RETIREMENT PLAN COMMITTEE OF THE NUVEEN INVESTMENTS EMPLOYEES
Plan administrator’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Administrator’s telephone number 3129178005

Number of participants as of the end of the plan year
Active participants 132
Retired or separated participants receiving benefits 70
Other retired or separated participants entitled to future benefits 360
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 10
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 0

Signature of
Role Plan administrator
Date 2014-10-15
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2012 363817266 2013-10-15 NUVEEN INVESTMENTS, INC. 593
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1969-10-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Plan administrator’s name and address
Administrator’s EIN 362894752
Plan administrator’s name RETIREMENT PLAN COMMITTEE OF THE NUVEEN INVESTMENTS EMPLOYEES
Plan administrator’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Administrator’s telephone number 3129178005

Number of participants as of the end of the plan year
Active participants 136
Retired or separated participants receiving benefits 68
Other retired or separated participants entitled to future benefits 370
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 9
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 0

Signature of
Role Plan administrator
Date 2013-10-15
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-10-15
Name of individual signing ROBERT LUSE
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' FLEXIBLE SPENDING 2012 363817266 2013-09-27 NUVEEN INVESTMENTS, INC. 443
Three-digit plan number (PN) 507
Effective date of plan 1991-01-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 456

Signature of
Role Plan administrator
Date 2013-09-27
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' SEVERANCE PLAN 2012 363817266 2013-09-27 NUVEEN INVESTMENTS, INC. 1214
Three-digit plan number (PN) 504
Effective date of plan 1989-01-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 1231
Retired or separated participants receiving benefits 75
Other retired or separated participants entitled to future benefits 0
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0

Signature of
Role Plan administrator
Date 2013-09-27
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' SEVERANCE PLAN 2012 363817266 2013-10-04 NUVEEN INVESTMENTS, INC. 1214
File View Page
Three-digit plan number (PN) 504
Effective date of plan 1989-01-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 1231
Retired or separated participants receiving benefits 75
Other retired or separated participants entitled to future benefits 0
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0

Signature of
Role Plan administrator
Date 2013-10-03
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-10-03
Name of individual signing ROBERT LUSE
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' FLEXIBLE SPENDING 2012 363817266 2013-10-04 NUVEEN INVESTMENTS, INC. 443
File View Page
Three-digit plan number (PN) 507
Effective date of plan 1991-01-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 456

Signature of
Role Plan administrator
Date 2013-10-03
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-10-03
Name of individual signing ROBERT LUSE
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' RETIREMENT PLAN 2011 363817266 2012-10-11 NUVEEN INVESTMENTS, INC. 606
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1969-10-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Plan administrator’s name and address
Administrator’s EIN 362894752
Plan administrator’s name RETIREMENT PLAN COMMITTEE OF THE NUVEEN INVESTMENTS EMPLOYEES
Plan administrator’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Administrator’s telephone number 3129178005

Number of participants as of the end of the plan year
Active participants 142
Retired or separated participants receiving benefits 61
Other retired or separated participants entitled to future benefits 382
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 8

Signature of
Role Plan administrator
Date 2012-10-11
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2012-10-11
Name of individual signing ROBERT LUSE
Valid signature Filed with authorized/valid electronic signature
NUVEEN INVESTMENTS EMPLOYEES' FLEXIBLE SPENDING 2011 363817266 2012-09-25 NUVEEN INVESTMENTS, INC. 453
File View Page
Three-digit plan number (PN) 507
Effective date of plan 1991-01-01
Business code 523120
Sponsor’s telephone number 3129178005
Plan sponsor’s mailing address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Plan sponsor’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606

Plan administrator’s name and address
Administrator’s EIN 363817266
Plan administrator’s name NUVEEN INVESTMENTS, INC.
Plan administrator’s address 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
Administrator’s telephone number 3129178005

Number of participants as of the end of the plan year
Active participants 443

Signature of
Role Plan administrator
Date 2012-09-25
Name of individual signing BARBARA FOX
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2012-09-25
Name of individual signing ROBERT LUSE
Valid signature Filed with authorized/valid electronic signature

Agent

Name and Address Role Appointment Date
ILLINOIS CORPORATION SERVICE COMPANY, 801 ADLAI STEVENSON DRIVE, SPRINGFIELD, 62703, SANGAMON Agent 2015-05-27

President

Name and Address Role
WILLIAM HUFFMAN 333 W. WACKER DRIVE, CHICAGO, IL 60606 President

Secretary

Name and Address Role
KEVIN J. MCCARTHY 333 W. WACKER DRIVE, CHICAGO, IL 60606 Secretary

Assumed Names

Name Type Effective Date Cancellation Date Cancellation Type Last Renewal Date
NUVEEN INVESTMENTS (ILLINOIS), INC. No data 2003-03-05 2015-05-01 Voluntary Cancellation No data
THE JOHN NUVEEN HOLDING COMPANY No data 1992-05-15 2003-03-05 Voluntary Cancellation No data

Historical Names

Name Change Date
THE JOHN NUVEEN COMPANY 2003-03-05

Shares

Class Series Voting Rights Authorized Shares Issued Shares Par Value
COMMON No data Voting Rights 10000 1055000 0.01

Related by officers

ILLINOIS CORPORATION SERVICE COMPANY, 801 ADLAI STEVENSON DRIVE, SPRINGFIELD, 62703, SANGAMON

SARGENT & LUNDY, L.L.C. DIEBOLD NIXDORF, INCORPORATED THE SHERWIN-WILLIAMS COMPANY BENJAMIN MOORE & CO. BUSINESS PROPERTY LENDING, INC. NORFOLK SOUTHERN RAILWAY COMPANY ALIGHT FINANCIAL SOLUTIONS, LLC MAPLE BROOK, L.L.C. INVESTMENT 10 L.L.C. ALIGHT SOLUTIONS LLC

Related by address

No related companies by address

Date of last update: 16 Jan 2025

Sources: Illinois Office of the Secretary of State

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