Paula J. Morton
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.
Paula Jean Morton was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1983. Paula had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2006 - July 23, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 5, 2006 - July 23, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 23, 2005 - June 9, 2006
A. G. EDWARDS & SONS, INC.
November 23, 2005 - June 9, 2006
A. G. EDWARDS & SONS, INC.
October 7, 2002 - June 16, 2006
AMERICAN CENTURY ADVISORY SERVICES, INC.
September 27, 2000 - May 31, 2005
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 23, 1991 - November 11, 1991
ARCO SECURITIES, INC.
April 28, 1988 - February 23, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 20, 1984 - May 4, 1988
INVEST FINANCIAL CORPORATION
January 3, 1984 - October 29, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
January 3, 1984 - October 29, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 1984 - October 29, 1984
IDS LIFE INSURANCE COMPANY
June 22, 1983 - December 2, 1983
MORGAN STANLEY DW 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.
