Mary S. Corbett
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.
Mary Sheila Corbett, who also goes by M. Sheila Corbett, Sheila Corbett, Sheila Corbett-flacke, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 10 firms and has passed the Series 65, Series 63 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
May 4, 2012 - June 9, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 4, 2012 - June 9, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 20, 2010 - November 14, 2011
PNC WEALTH MANAGEMENT LLC
December 20, 2010 - November 14, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 31, 2009
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 31, 2009
PNC WEALTH MANAGEMENT LLC
June 10, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
June 10, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 28, 2007 - July 10, 2008
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
October 17, 2002 - May 30, 2008
M&T SECURITIES, INC.
February 8, 2002 - September 25, 2002
UVEST FINANCIAL SERVICES GROUP, INC.
June 7, 1999 - February 13, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 5, 1993 - June 26, 1997
FIS SECURITIES, INC.
February 3, 1987 - January 4, 1993
CIBC WORLD MARKETS CORP.
January 23, 1985 - January 2, 1986
LEHMAN BROTHERS 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.
