KR
K Scott Roche
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Chicago, IL 60606
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CRD#: 2025502
KR
Professional summary
K Scott Roche, CFP®, who also goes by Kenneth Scott Roche, Scott Roche, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Chicago, Illinois.
K Scott is registered as a RR (Registered Representative) and started their career in finance in 1990. K Scott has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kenneth Scott Roche | Scott Roche
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) - BD
Click below to view K Scott Roche'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®
Experience
Current
October 28, 2010 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606RIA
BD
CRD#: 20472
Chicago, IL
Past
April 1, 2008 - August 3, 2009
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
GRAND FORKS, ND
Past
March 28, 2008 - August 3, 2009
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
GRAND FORKS, ND
Past
January 1, 2008 - April 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GRAND FORKS, ND
Past
January 1, 2008 - April 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GRAND FORKS, ND
Past
October 31, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
GRAND FORKS, ND
Past
May 3, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
GRAND FORKS, ND
Past
February 10, 2000 - May 2, 2001
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
October 24, 1994 - January 26, 2000
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
February 6, 1990 - September 30, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 6, 1990 - September 30, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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.
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(1/2/2024)
RR
Alaska(1/2/2024)
RR
Arizona(3/16/2020)
RR
Arkansas(10/23/2020)
RR
California(10/23/2020)
RR
Colorado(11/8/2016)
RR
Connecticut(1/2/2024)
RR
Delaware(1/2/2024)
RR
District of Columbia(1/2/2024)
RR
Florida(1/2/2024)
RR
Georgia(1/2/2024)
RR
Hawaii(10/23/2020)
RR
Idaho(10/23/2020)
RR
Illinois(10/28/2010)
RR
Indiana(1/2/2024)
RR
Iowa(10/28/2010)
RR
Kansas(11/8/2016)
RR
Kentucky(1/2/2024)
RR
Louisiana(10/23/2020)
RR
Maine(1/2/2024)
RR
Maryland(1/2/2024)
RR
Massachusetts(1/2/2024)
RR
Michigan(1/2/2024)
RR
Minnesota(10/28/2010)
RR
Mississippi(1/2/2024)
RR
Missouri(10/28/2010)
RR
Montana(10/23/2020)
RR
Nebraska(11/8/2016)
RR
Nevada(10/23/2020)
RR
New Hampshire(1/2/2024)
RR
New Jersey(1/2/2024)
RR
New Mexico(11/8/2016)
RR
New York(1/2/2024)
RR
North Carolina(1/2/2024)
RR
North Dakota(10/28/2010)
RR
Ohio(1/2/2024)
RR
Oklahoma(10/23/2020)
RR
Oregon(10/23/2020)
RR
Pennsylvania(1/2/2024)
RR
Rhode Island(1/2/2024)
RR
South Carolina(1/2/2024)
RR
South Dakota(10/28/2010)
RR
Tennessee(1/2/2024)
RR
Texas(10/23/2020)
RR
Utah(3/16/2020)
RR
Vermont(1/2/2024)
RR
Virginia(1/2/2024)
RR
Washington(10/23/2020)
RR
West Virginia(1/2/2024)
RR
Wisconsin(10/28/2010)
RR
Wyoming(11/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
