Jon G. Sando
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.
Jon Guillaume Sando, who also goes by Sando Guillaume Jon, Jon Guilllaume Sando, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1998. Jon had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - February 19, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 21, 2015 - February 19, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 11, 2011 - December 2, 2014
TD AMERITRADE, INC.
October 11, 2011 - December 2, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 10, 2011 - December 2, 2014
TD AMERITRADE, INC.
May 22, 2007 - October 12, 2011
CHARLES SCHWAB & CO., INC.
May 21, 2007 - October 12, 2011
CHARLES SCHWAB & CO., INC.
September 11, 2006 - April 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 2006 - April 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 10, 2004 - August 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2004 - August 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2001 - June 16, 2004
GOLDMAN SACHS & CO. LLC
October 9, 2000 - June 16, 2004
GOLDMAN SACHS & CO. LLC
February 19, 1998 - September 20, 2000
CHARLES SCHWAB & CO., 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.
