James F. Mullery
Professional summary
James Francis Mullery, who also goes by James Francis Mullery, James Mullery, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Francis Mullery's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 730 Third Avenue Nyc Hub, New York, NY 10017June 27, 2018 - April 10, 2020
PRUCO SECURITIES, LLC.
June 7, 2018 - November 6, 2020
AST INVESTMENT SERVICES, INC.
January 23, 2017 - March 29, 2023
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
April 29, 2014 - November 22, 2016
BLACKROCK INVESTMENTS, LLC
April 23, 2014 - November 22, 2016
BLACKROCK FINANCIAL MANAGEMENT, INC
May 26, 2011 - June 21, 2012
GUGGENHEIM INVESTMENTS
September 29, 2010 - June 21, 2012
SECURITY DISTRIBUTORS
June 25, 2010 - August 16, 2010
EQUITABLE DISTRIBUTORS, LLC
August 12, 2008 - July 2, 2010
EQUITABLE ADVISORS, LLC
January 15, 2008 - July 2, 2010
EQUITABLE ADVISORS, LLC
August 11, 2004 - February 15, 2006
ENTERPRISE FUND DISTRIBUTORS, INC.
June 25, 2004 - April 22, 2008
EQUITABLE DISTRIBUTORS, LLC
May 5, 2003 - June 22, 2004
FRED ALGER & COMPANY, LLC
May 23, 2002 - March 19, 2003
UBS FINANCIAL SERVICES INC.
May 4, 1998 - March 19, 2003
UBS FINANCIAL SERVICES INC.
May 1, 1997 - March 26, 1998
UBS ASSET MANAGEMENT (US) INC.
January 1, 1997 - April 2, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 23, 1996 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1994 - December 19, 1995
LORD ABBETT DISTRIBUTOR LLC
July 11, 1990 - March 31, 1994
CITIGROUP GLOBAL MARKETS 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
(4/4/2023)
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 |
|---|---|---|
| 01/23/2025 | ||
| 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.
