Robert J. Griffin
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.
Robert Johnson Griffin, CFP®, who also goes by Bob Griffin, Robert Johnson Griffin Jr, Robert Johnson Griffin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2015 - October 18, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 7, 2015 - October 18, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 28, 2004 - July 9, 2013
FIRST CITIZENS INVESTOR SERVICES, INC.
December 12, 2002 - July 9, 2013
FIRST CITIZENS INVESTOR SERVICES, INC.
September 18, 2001 - December 16, 2002
VOYA FINANCIAL ADVISORS, INC.
July 27, 2001 - January 21, 2003
CETERA ADVISORS LLC
July 16, 2001 - January 16, 2003
VESTAX SECURITIES CORPORATION
July 16, 2001 - January 23, 2003
CETERA INVESTMENT SERVICES LLC
July 16, 2001 - January 23, 2003
GUARANTY BROKERAGE SERVICES, INC.
July 16, 2001 - January 23, 2003
BANCNORTH INVESTMENT GROUP, INC.
July 16, 2001 - January 23, 2003
BANCWEST INVESTMENT SERVICES, INC.
July 5, 2001 - January 16, 2003
IFG NETWORK SECURITIES, INC.
June 19, 2001 - December 16, 2002
LOCUST STREET SECURITIES, INC.
September 15, 1998 - May 31, 2000
FULCRUM FINANCIAL ADVISORS, INC.
December 12, 1997 - February 23, 1999
NEW ENGLAND SECURITIES
January 25, 1990 - November 11, 1997
IDS LIFE INSURANCE COMPANY
January 25, 1990 - November 11, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 1988 - June 16, 1988
ASTRA FUND DISTRIBUTORS CORP.
October 1, 1985 - August 28, 1987
COLONIAL INVESTMENT SERVICES, 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.
