SS
Scott M. Smallman
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Charlotte, NC
Some features on this profile are disabled
CRD#: 1240393
SS
Professional summary
Scott Michael Smallman, who also goes by Scott M Smallman, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlotte, North Carolina.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1985. Scott has worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 3, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott M Smallman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Scott Michael Smallman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 11, 2002 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlotte, NC
Past
June 24, 2002 - September 12, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 4, 1997 - December 31, 2001
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
May 1, 1996 - August 19, 1997
AUFHAUSER SECURITIES, INC.
BD
CRD#: 39673
NEW YORK, NY
Past
September 26, 1992 - February 23, 1996
FREETRADE.COM, INC.
BD
CRD#: 10752
OMAHA, NE
Past
April 26, 1991 - October 7, 1991
FLEET BROKERAGE SECURITIES, INC.
BD
CRD#: 7313
NEW YORK, NY
Past
April 22, 1987 - July 27, 1989
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Past
May 27, 1986 - May 19, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
October 1, 1985 - March 17, 1986
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
Past
July 23, 1985 - October 1, 1985
JII SECURITIES INC.
BD
CRD#: 406
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/15/2012)
RR
Alaska(11/15/2012)
RR
Arizona(11/15/2012)
RR
Arkansas(11/15/2012)
RR
California(11/15/2012)
RR
Colorado(11/15/2012)
RR
Connecticut(11/15/2012)
RR
Delaware(11/15/2012)
RR
District of Columbia(11/15/2012)
RR
Florida(11/15/2012)
RR
Georgia(11/15/2012)
RR
Hawaii(11/15/2012)
RR
Idaho(11/15/2012)
RR
Illinois(11/15/2012)
RR
Indiana(11/15/2012)
RR
Iowa(11/15/2012)
RR
Kansas(11/15/2012)
RR
Kentucky(11/15/2012)
RR
Louisiana(11/15/2012)
RR
Maine(11/15/2012)
RR
Maryland(11/15/2012)
RR
Massachusetts(11/15/2012)
RR
Michigan(11/15/2012)
RR
Minnesota(11/15/2012)
RR
Mississippi(11/15/2012)
RR
Missouri(11/15/2012)
RR
Montana(11/15/2012)
RR
Nebraska(11/15/2012)
RR
Nevada(11/15/2012)
RR
New Hampshire(11/15/2012)
RR
New Jersey(11/15/2012)
RR
New Mexico(11/15/2012)
RR
New York(11/15/2012)
RR
North Carolina(10/11/2002)
RR
North Dakota(11/15/2012)
RR
Ohio(11/15/2012)
RR
Oklahoma(11/15/2012)
RR
Oregon(11/15/2012)
RR
Pennsylvania(11/15/2012)
RR
Rhode Island(11/15/2012)
RR
South Carolina(11/15/2012)
RR
South Dakota(11/15/2012)
RR
Tennessee(11/15/2012)
RR
Texas(11/15/2012)
RR
Utah(11/15/2012)
RR
Vermont(11/15/2012)
RR
Virginia(11/15/2012)
RR
Washington(11/15/2012)
RR
West Virginia(11/15/2012)
RR
Wisconsin(11/15/2012)
RR
Wyoming(11/15/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
730 Third Avenue, New York, NY 10017-3206
Mailing Address
8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500
Phone number
(704) 988-3565
Established
Delaware since 01/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,319
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.
