Ann M. Schollmeyer
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.
Ann Marie Schollmeyer was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1983. Ann had worked at 12 firms and has passed the Series 66, 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
July 1, 2015 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 30, 2015 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 15, 2015 - June 22, 2015
SIGNATOR INVESTORS, INC.
April 14, 2015 - June 22, 2015
SIGNATOR INVESTORS, INC.
August 13, 2012 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
August 13, 2012 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
October 7, 2009 - August 14, 2012
EQUITABLE ADVISORS, LLC
October 7, 2009 - August 14, 2012
EQUITABLE ADVISORS, LLC
October 8, 2003 - October 13, 2009
VALIC FINANCIAL ADVISORS, INC.
April 28, 2003 - October 13, 2009
VALIC FINANCIAL ADVISORS, INC.
March 18, 1992 - December 31, 1993
LYNCH, JONES & RYAN LLC
September 6, 1989 - May 8, 1990
SBC WARBURG DILLON READ INC.
June 19, 1989 - July 10, 1989
STERLING & YORKE SECURITIES CORP.
August 9, 1984 - March 2, 1989
ROBERT FLEMING INC.
January 1, 1984 - July 23, 1984
BROOKEHILL CAPITAL PARTNERS LIMITED
February 24, 1983 - July 1, 1983
BREAN MURRAY & CO., INC.
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.
