Concepcion G. Perez
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.
Concepcion Genoveva Perez, who also goes by Conchy G Perez, Conchy Perez, was a registered financial professional .
Concepcion is a previously registered financial professional and started their career in finance in 1985. Concepcion had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2011 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 25, 2011 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 10, 2008 - June 21, 2010
GOLDMAN SACHS WEALTH SERVICES, L.P.
May 5, 2008 - June 21, 2010
MERCER ALLIED COMPANY, L.P.
January 1, 2008 - January 29, 2008
FIDELITY BROKERAGE SERVICES LLC
November 15, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
December 21, 2005 - November 6, 2006
MERCER ALLIED COMPANY, L.P.
August 3, 1989 - May 23, 2005
FIDELITY BROKERAGE SERVICES LLC
June 28, 1989 - August 11, 1989
WOODBURY FINANCIAL SERVICES, INC.
May 1, 1989 - June 20, 1989
CHARLES SCHWAB & CO., INC.
February 12, 1986 - May 1, 1989
ROSE & COMPANY INVESTMENT BROKERS, INC.
August 8, 1985 - January 23, 1986
KIDDER, PEABODY & CO. INCORPORATED
February 21, 1985 - July 2, 1985
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
Series 7TO
Date: 5/18/2023
General Securities Representative ExaminationSeries 8
Date: 3/31/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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.
