PF
Paul T. Floriani
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Charlotte, NC
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CRD#: 1711549
PF
Professional summary
Paul Thomas Floriani is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlotte, North Carolina.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Paul has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 3, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Thomas Floriani's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Thomas Floriani'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
September 13, 2007 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlotte, NC
Current
August 10, 2007 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlotte, NC
Past
July 15, 2005 - July 16, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
July 20, 2001 - September 10, 2004
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
BD
CRD#: 10485
NEW YORK, NY
Past
April 24, 1998 - August 6, 2001
CONNING & COMPANY
BD
CRD#: 1512
OAKBROOK TERRACE, IL
Past
February 7, 1997 - April 24, 1998
ORMES CAPITAL MARKETS, INC.
BD
CRD#: 32351
NEW YORK, NY
Past
September 14, 1995 - September 13, 1996
KAUFMAN BROS., L.P.
BD
CRD#: 37909
NEW YORK, NY
Past
October 25, 1991 - September 6, 1995
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
July 13, 1988 - September 12, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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(8/10/2007)
RR
Alaska(8/10/2007)
RR
Arizona(8/10/2007)
RR
Arkansas(8/10/2007)
RR
California(8/10/2007)
RR
Colorado(8/10/2007)
RR
Connecticut(8/10/2007)
RR
Delaware(8/10/2007)
RR
District of Columbia(8/10/2007)
RR
Florida(8/10/2007)
RR
Georgia(8/10/2007)
RR
Hawaii(8/10/2007)
RR
Idaho(8/10/2007)
RR
Illinois(8/10/2007)
RR
Indiana(8/10/2007)
RR
Iowa(8/10/2007)
RR
Kansas(8/10/2007)
RR
Kentucky(8/10/2007)
RR
Louisiana(8/10/2007)
RR
Maine(8/10/2007)
RR
Maryland(8/10/2007)
RR
Massachusetts(8/10/2007)
RR
Michigan(8/10/2007)
RR
Minnesota(8/10/2007)
RR
Mississippi(8/10/2007)
RR
Missouri(8/10/2007)
RR
Montana(8/10/2007)
RR
Nebraska(8/10/2007)
RR
Nevada(8/10/2007)
RR
New Hampshire(8/10/2007)
RR
New Jersey(8/10/2007)
RR
New Mexico(8/10/2007)
RR
New York(8/10/2007)
RR
North Carolina(8/10/2007)
IAR
North Carolina(9/13/2007)
RR
North Dakota(8/10/2007)
RR
Ohio(8/10/2007)
RR
Oklahoma(8/10/2007)
RR
Oregon(8/10/2007)
RR
Pennsylvania(8/10/2007)
RR
Puerto Rico(2/5/2024)
RR
Rhode Island(8/10/2007)
RR
South Carolina(8/10/2007)
RR
South Dakota(8/10/2007)
RR
Tennessee(8/10/2007)
RR
Texas(8/10/2007)
RR
Utah(8/10/2007)
RR
Vermont(8/10/2007)
RR
Virgin Islands(8/28/2025)
RR
Virginia(8/10/2007)
RR
Washington(8/10/2007)
RR
West Virginia(8/10/2007)
RR
Wisconsin(8/10/2007)
RR
Wyoming(8/10/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Charlotte, NCTRUST BUT VERIFY
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Contact information
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