Debra K. Anderson
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.
Debra Kay Anderson, CFP®, who also goes by Debra Kay Anderson, Debra Kay Andersonwicht, Debra K Anderson, Debra Kay Wicht, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1986. Debra had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
November 1, 2021 - March 19, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 1, 2021 - March 19, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 4, 2021 - October 25, 2021
CETERA INVESTMENT ADVISERS LLC
January 4, 2021 - October 25, 2021
CETERA INVESTMENT SERVICES LLC
January 21, 2015 - December 21, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 21, 2015 - December 21, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 2, 2009 - December 15, 2014
NATIONWIDE INVESTMENT ADVISORS, LLC
May 26, 2009 - December 15, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 4, 2009 - May 14, 2009
WFP SECURITIES
February 3, 2009 - May 14, 2009
WFP SECURITIES
December 13, 2006 - September 3, 2008
WFP SECURITIES
December 13, 2006 - September 3, 2008
WFP SECURITIES
October 22, 1990 - May 24, 1991
IDS LIFE INSURANCE COMPANY
October 22, 1990 - May 24, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 1990 - October 9, 1990
CITICORP INVESTMENT SERVICES
September 21, 1989 - September 4, 1990
UBS FINANCIAL SERVICES INC.
April 4, 1988 - September 23, 1989
FSB PREMIER WEALTH MANAGEMENT, INC.
August 17, 1987 - July 16, 1988
B.C. CHRISTOPHER SECURITIES CO.
March 19, 1986 - June 2, 1987
INVEST FINANCIAL CORPORATION
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
