GT
Guy E. Tuggle
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
Some features on this profile are disabled
CRD#: 1422351
GT
Professional summary
Guy Edward Tuggle II, who also goes by Guy Edward Tuggle, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Guy is registered as a RR (Registered Representative) and started their career in finance in 1985. Guy has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Guy Edward Tuggle
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 Guy Edward Tuggle II'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
August 12, 2015 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
January 15, 2015 - August 10, 2015
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
DALLAS, TX
Past
January 15, 2015 - August 10, 2015
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
DALLAS, TX
Past
August 15, 2014 - January 9, 2015
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ADDISON, TX
Past
July 30, 2002 - October 31, 2002
OSAIC FA, INC.
RIA
CRD#: 3978
DALLAS, TX
Past
July 19, 2002 - October 31, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
July 19, 2002 - October 31, 2002
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
September 25, 1997 - March 10, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
March 17, 1994 - March 22, 1994
ALEXANDER & ALEXANDER SECURITIES CORP.
BD
CRD#: 7907
HOUSTON, TX
Past
April 29, 1986 - December 31, 1987
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
April 29, 1986 - December 31, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
October 11, 1985 - February 6, 1986
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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(8/12/2015)
RR
Alaska(8/12/2015)
RR
Arizona(8/12/2015)
RR
Arkansas(8/12/2015)
RR
California(8/12/2015)
RR
Colorado(8/12/2015)
RR
Connecticut(8/12/2015)
RR
Delaware(8/12/2015)
RR
District of Columbia(8/12/2015)
RR
Florida(8/12/2015)
RR
Georgia(8/12/2015)
RR
Hawaii(8/12/2015)
RR
Idaho(8/12/2015)
RR
Illinois(8/12/2015)
RR
Indiana(8/12/2015)
RR
Iowa(8/12/2015)
RR
Kansas(8/12/2015)
RR
Kentucky(8/12/2015)
RR
Louisiana(8/12/2015)
RR
Maine(8/12/2015)
RR
Maryland(8/12/2015)
RR
Massachusetts(8/12/2015)
RR
Michigan(8/12/2015)
RR
Minnesota(8/12/2015)
RR
Mississippi(8/12/2015)
RR
Missouri(8/12/2015)
RR
Montana(8/12/2015)
RR
Nebraska(8/12/2015)
RR
Nevada(8/12/2015)
RR
New Hampshire(8/12/2015)
RR
New Jersey(8/12/2015)
RR
New Mexico(8/12/2015)
RR
New York(8/12/2015)
RR
North Carolina(8/13/2015)
RR
North Dakota(8/12/2015)
RR
Ohio(8/12/2015)
RR
Oklahoma(8/12/2015)
RR
Oregon(8/12/2015)
RR
Pennsylvania(8/12/2015)
RR
Rhode Island(8/12/2015)
RR
South Carolina(8/12/2015)
RR
South Dakota(8/12/2015)
RR
Tennessee(8/12/2015)
RR
Texas(8/12/2015)
RR
Utah(8/12/2015)
RR
Vermont(8/12/2015)
RR
Virginia(8/12/2015)
RR
Washington(8/12/2015)
RR
West Virginia(8/12/2015)
RR
Wisconsin(8/12/2015)
RR
Wyoming(8/12/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
Monitor Guy Tuggle
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
