PE
Patricia A. Ellerby
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Denver, CO
Some features on this profile are disabled
CRD#: 1447752
PE
Professional summary
Patricia Ann Ellerby, who also goes by Patricia Ann Ellerby, Patricia Ann Latosek, Patty Latosek, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Denver, Colorado.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Patricia has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Ann Ellerby | Patricia Ann Latosek | Patty Latosek
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.
1)06/29/2022 - First Interstate Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)06/29/2022 - Neiman Marcus - Non-Inv Rel - Denter, CO - Start: 11/2020
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Ann Ellerby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ann Ellerby'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
October 20, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 1670 Broadway, Suite 3300 Denver Regional, Denver, CO 80202-5602RIA
BD
CRD#: 20472
Denver, CO
Current
October 20, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 1670 Broadway, Suite 3300 Denver Regional, Denver, CO 80202-5602RIA
BD
CRD#: 20472
Denver, CO
Past
July 21, 2022 - October 17, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
DENVER, CO
Past
July 21, 2022 - October 17, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
Past
June 14, 2017 - August 2, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Denver, CO
Past
June 14, 2017 - August 2, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DENVER, CO
Past
April 14, 2016 - June 13, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
DENVER, CO
Past
April 14, 2016 - June 13, 2017
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LITTLETON, CO
Past
January 10, 2012 - November 5, 2015
EDWARD JONES
BD
CRD#: 250
DENVER, CO
Past
January 3, 2012 - November 5, 2015
EDWARD JONES
RIA
CRD#: 250
DENVER, CO
Past
January 14, 2008 - March 29, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOULDER, CO
Past
May 24, 2006 - March 29, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
BOULDER, CO
Past
April 16, 2001 - June 14, 2004
PIPER SANDLER & CO.
RIA
CRD#: 665
BOULDER, CO
Past
February 21, 2001 - June 14, 2004
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
April 6, 1999 - February 22, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 15, 1993 - January 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 22, 1988 - September 16, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(10/20/2023)
IAR
Alabama(8/14/2025)
RR
Alaska(10/20/2023)
RR
Arizona(10/20/2023)
RR
Arkansas(10/20/2023)
RR
California(10/20/2023)
RR
Colorado(10/20/2023)
IAR
Colorado(10/20/2023)
RR
Connecticut(10/20/2023)
RR
Delaware(10/20/2023)
RR
District of Columbia(10/20/2023)
RR
Florida(10/20/2023)
RR
Georgia(10/20/2023)
RR
Hawaii(10/20/2023)
RR
Idaho(10/20/2023)
RR
Illinois(10/20/2023)
RR
Indiana(10/20/2023)
RR
Iowa(10/20/2023)
RR
Kansas(10/20/2023)
RR
Kentucky(10/20/2023)
RR
Louisiana(10/20/2023)
RR
Maine(10/20/2023)
RR
Maryland(10/20/2023)
RR
Massachusetts(10/20/2023)
RR
Michigan(10/20/2023)
RR
Minnesota(10/20/2023)
RR
Mississippi(10/20/2023)
RR
Missouri(10/20/2023)
RR
Montana(10/20/2023)
RR
Nebraska(10/20/2023)
RR
Nevada(10/20/2023)
RR
New Hampshire(10/20/2023)
RR
New Jersey(10/20/2023)
RR
New Mexico(10/20/2023)
RR
New York(10/20/2023)
RR
North Carolina(10/20/2023)
RR
North Dakota(10/20/2023)
RR
Ohio(10/20/2023)
RR
Oklahoma(10/20/2023)
RR
Oregon(10/20/2023)
RR
Pennsylvania(10/20/2023)
RR
Rhode Island(10/20/2023)
RR
South Carolina(10/20/2023)
RR
South Dakota(10/20/2023)
RR
Tennessee(10/20/2023)
RR
Texas(10/20/2023)
IAR
Texas(8/14/2025)
RR
Utah(10/20/2023)
RR
Vermont(10/20/2023)
IAR
Vermont(8/14/2025)
RR
Virginia(10/20/2023)
RR
Washington(10/20/2023)
RR
West Virginia(10/20/2023)
RR
Wisconsin(10/20/2023)
RR
Wyoming(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
