Carolyn J. Morse
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.
Carolyn Julie Morse was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1985. Carolyn had worked at 12 firms and has passed the Series 63, Series 6, Series 3, Series 7, Series 4, 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
December 19, 2005 - December 23, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 3, 1997 - April 4, 1997
WORLDCO, L.L.C.
May 18, 1994 - February 8, 1995
MONTANO SECURITIES CORPORATION
November 16, 1992 - May 8, 1995
AMR SECURITIES, INC.
May 18, 1992 - August 26, 1992
SMITH, BENTON & HUGHES, INC.
April 17, 1991 - July 31, 1992
UBS FINANCIAL SERVICES INC.
September 4, 1990 - March 8, 1991
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
November 20, 1986 - March 18, 1989
THOMSON MCKINNON SECURITIES INC.
September 2, 1986 - October 13, 1986
RCM GOVERNMENT SECURITIES, INC.
March 25, 1986 - September 6, 1986
B. J. LEONARD AND COMPANY, INC.
December 19, 1985 - January 1, 1986
INVESTACORP, 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.
