Valentina Glaviano
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.
Valentina Glaviano, who also goes by Val Glaviano, Valentina Maria Glaviano, Valen Manoff, was a registered financial professional .
Valentina is a previously registered financial professional and started their career in finance in 1986. Valentina had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6 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
November 13, 2019 - January 7, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 30, 2017 - January 25, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 1, 2016 - November 11, 2016
HARTFORD FUNDS DISTRIBUTORS, LLC
February 5, 2015 - July 29, 2016
ALPS DISTRIBUTORS, INC.
October 8, 2012 - July 5, 2013
ALPHAMAX DISTRIBUTORS, L.L.C.
January 20, 2012 - May 30, 2012
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
September 13, 2010 - May 30, 2012
GUGGENHEIM DISTRIBUTORS, LLC
November 5, 2009 - January 14, 2010
BLACKROCK FUND DISTRIBUTION COMPANY
June 18, 2007 - December 31, 2009
BLACKROCK EXECUTION SERVICES
April 1, 2004 - May 17, 2007
LAZARD ASSET MANAGEMENT SECURITIES LLC
June 5, 2003 - May 24, 2007
LAZARD ASSET MANAGEMENT LLC
November 17, 1997 - April 1, 2004
LAZARD FRERES & CO. LLC
July 17, 1997 - November 17, 1997
MFS FUND DISTRIBUTORS, INC.
November 2, 1995 - May 8, 1997
DIRECTED SERVICES LLC
February 23, 1987 - September 11, 1992
MERRIMAN CAPITAL, INC.
December 26, 1986 - October 27, 1987
TRANSAMERICA FINANCIAL ADVISORS, 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.
