Nancy P. Gates
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.
Nancy P Gates, who also goes by Nancy Petrus Asvestas, Nancy Petrus Gates, Nancy Mae Petrus, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2012 - March 11, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 8, 2010 - March 11, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 22, 2010 - October 1, 2010
INVEST FINANCIAL CORPORATION
June 22, 2010 - October 1, 2010
INVEST FINANCIAL CORPORATION
May 17, 2006 - May 5, 2010
VOYA FINANCIAL PARTNERS, LLC
May 17, 2006 - May 5, 2010
VOYA FINANCIAL PARTNERS, LLC
March 15, 1999 - May 1, 2006
INVEST FINANCIAL CORPORATION
March 9, 1999 - May 1, 2006
INVEST FINANCIAL CORPORATION
August 6, 1998 - May 3, 1999
FSC SECURITIES CORPORATION
January 27, 1995 - August 4, 1998
FIRST UNION BROKERAGE SERVICES, INC.
June 30, 1993 - February 1, 1995
BARNETT INVESTMENTS, INC.
December 22, 1992 - June 29, 1993
FIRST UNION BROKERAGE SERVICES, INC.
August 3, 1989 - December 22, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 4, 1988 - August 29, 1989
GRIFFIN FINANCIAL SERVICES
August 20, 1986 - March 19, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
May 10, 1984 - November 17, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 10, 1984 - November 17, 1987
OSAIC FA, 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.
