Career
Erik Mogavero has been Chief Compliance Officer of Nuveen Fund Advisors since August 2017. Erik Mogavero is a control person of the firm and directly owns under 5% of it.
Nuveen Fund Advisors, LLC is a Chicago, IL firm with $186B under management, 235 clients and 25 advisers across 6 offices, as of its March 2026 filing.
No adviser firm registrations are on Erik Mogavero’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 13 July 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 July 1996 |
| Series 7 | General Securities Representative Examination | 15 March 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Erik Peter Mogavero
- CRD
- 2540210
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Erik Mogavero work?
Erik Mogavero has been Chief Compliance Officer of Nuveen Fund Advisors, LLC since August 2017, and is a control person of the firm.
Does Erik Mogavero have a current investment-adviser registration?
Erik Mogavero has a current broker registration and no current investment-adviser registration.
What exams has Erik Mogavero passed?
Erik Mogavero has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in March 1995. FINRA credited Erik Mogavero with the SIE, which began in October 2018.