Roselynn V. Skidmore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roselynn Vega Skidmore, who also goes by Roselynn Smolar, Roselynn Joelle Vega, Roselynn Vega, Roselynn Joelle Vega Ashenfarb, Roselynn Joelle Vega-ashenfarb, Roselynn Vega-ashenfarb, was a registered financial professional .
Roselynn is a previously registered financial professional and started their career in finance in 1987. Roselynn had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2013 - July 17, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 27, 2013 - July 17, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 21, 2009 - January 25, 2012
BARCLAYS CAPITAL INC.
September 22, 2008 - January 25, 2012
BARCLAYS CAPITAL INC.
February 14, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
March 13, 2001 - September 22, 2008
LEHMAN BROTHERS INC.
September 19, 2000 - October 2, 2000
LEHMAN BROTHERS INC.
July 7, 1999 - March 5, 2001
UBS SECURITIES LLC
January 28, 1995 - June 22, 1999
UBS FINANCIAL SERVICES INC.
December 10, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 30, 1992 - November 24, 1993
CITIGROUP GLOBAL MARKETS INC.
August 18, 1987 - August 17, 1992
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
