Susan M. Marshall
Professional summary
Susan Mcgarry Marshall, who also goes by Susan D Marshall, Susan Mcgarry Marshall, Susan Donna Mcgarry, Susan M Marshall, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Waltham, Massachusetts.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1988. Susan has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Mcgarry Marshall's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 13, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 225 Wyman Street, Waltham, MA 02451July 15, 2021 - June 4, 2026
FIDELITY BROKERAGE SERVICES LLC
July 13, 2016 - June 7, 2021
VOYA FINANCIAL PARTNERS, LLC
January 1, 2008 - July 31, 2015
FIDELITY BROKERAGE SERVICES LLC
November 27, 1995 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
November 19, 1992 - November 15, 1995
SIGNATOR INVESTORS, INC.
November 18, 1992 - November 16, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
February 2, 1990 - May 3, 1991
COLONIAL INVESTMENT SERVICES
May 13, 1988 - February 2, 1990
COLONIAL INVESTMENT SERVICES, 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
FINRA
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.
