Unclaimed Profile

Diane M Whelan

NUVEEN FUND ADVISORS, LLC·CHICAGO, Illinois

SIE, Series 99Clean recordNUVEEN FUND ADVISORS, LLC

333 WEST WACKER DRIVE, CHICAGO, IL 60606CRD# 3128177Firm CRD# 104626

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Diane M Whelan · CHICAGO, IL

Registration

CRD #3128177 · NUVEEN FUND ADVISORS, LLC

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 99

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NUVEEN FUND ADVISORS, LLC

CRD 104626 · SEC 801-14147

AUM

$150.4B

Regulatory assets under management

Employees

146

182 client accounts

Services offered by NUVEEN FUND ADVISORS, LLC

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at NUVEEN FUND ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Diane M Whelan offer?

Diane M Whelan specializes in Investment Management, Retirement Planning, Fee-Only Advisory. Contact their office in CHICAGO, Illinois for a consultation.

What are Diane M Whelan's credentials?

Diane M Whelan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Diane M Whelan located?

Diane M Whelan is based in CHICAGO, Illinois, working with NUVEEN FUND ADVISORS, LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does Diane M Whelan charge for services?

Diane M Whelan's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NUVEEN FUND ADVISORS, LLC?

NUVEEN FUND ADVISORS, LLC has approximately 146 employees and manages $150.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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