Beau R. Taylor

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CRD#: 1748468

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.

Beau Rf Taylor, who also goes by Beau R Taylor, Beau R F Taylor, Beau Richard Ferris Taylor, was a registered financial professional .

Beau is a previously registered financial professional and started their career in finance in 1988. Beau had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Beau R Taylor | Beau R F Taylor | Beau Richard Ferris Taylor

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 12, 2014 - January 31, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

LEWISVILLE, TX

Past

April 10, 2013 - February 3, 2014

AVONDALE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 165455

DALLAS, TX

Past

September 26, 2011 - March 15, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

DALLAS, TX

Past

July 13, 2010 - May 3, 2011

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FRISCO, TX

Past

July 13, 2010 - May 3, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FRISCO, TX

Past

June 2, 2010 - June 21, 2010

NEWPORT GROUP SECURITIES, INC.

RIA

CRD#: 29722

LAKE MARY, FL

Past

June 2, 2010 - June 21, 2010

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

LAKE MARY, FL

Past

March 5, 2010 - March 29, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DALLAS, TX

Past

March 5, 2010 - March 29, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

DALLAS, TX

Past

July 10, 2008 - November 9, 2009

CLARK INVESTMENT STRATEGIES, INC.

RIA

CRD#: 145853

DALLAS, TX

Past

July 8, 2002 - April 8, 2004

CLARK SECURITIES, INC.

RIA

CRD#: 43803

DALLAS, TX

Past

July 2, 2001 - November 9, 2009

CLARK SECURITIES, INC.

CRD#: 43803

DALLAS, TX

Past

April 30, 2001 - July 2, 2001

CLARK-BARDES SECURITIES, INC.

CRD#: 29094

DALLAS, TX

Past

July 9, 1999 - December 15, 2000

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

August 12, 1998 - November 30, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 10, 1990 - July 9, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

December 6, 1989 - February 24, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

June 30, 1988 - October 24, 1989

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/9/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/23/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - OCTOBER 20, 2025 (10/16/2025)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - AUGUST 26, 2025 (8/26/2025)

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - MARCH 28, 2025 (3/26/2025)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - MARCH 28, 2025 (3/26/2025)

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	Cover Page	Report
12/13/2023	Cover Page	Report
03/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Beau R. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVONDALE INVESTMENT MANAGEMENT LLC

PURSHE KAPLAN STERLING INVESTMENTS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

NEWPORT GROUP SECURITIES, INC.

NEWPORT GROUP SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

CLARK INVESTMENT STRATEGIES, INC.

CLARK SECURITIES, INC.

CLARK SECURITIES, INC.

CLARK-BARDES SECURITIES, INC.

WFG INVESTMENTS, INC.

CITIGROUP GLOBAL MARKETS INC.

CHARLES SCHWAB & CO., INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2002

Series 63

Date: 7/8/1988

SIE

Date: 1/31/2018

Series 7

Date: 6/18/1988

Series 8

Date: 8/23/1993

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

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