Ondina A. Purcell
Professional summary
Ondina Adriana Purcell, who also goes by Ondina Adriana Borgia, Ondina Adriana Purcell, Ondina Borgia Purcell, Ondina Purcell, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in New York, New York.
Ondina is registered as a RR (Registered Representative) and started their career in finance in 1991. Ondina has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ondina Adriana Purcell's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 730 Third Avenue Nyc Hub, New York, NY 10017October 9, 2019 - August 21, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 19, 2016 - March 7, 2019
SANFORD C. BERNSTEIN & CO., LLC
November 20, 2013 - January 7, 2016
NEXPOINT SECURITIES, INC.
October 16, 2013 - December 31, 2013
NEXBANK SECURITIES INC
March 20, 2006 - October 8, 2013
UBS FINANCIAL SERVICES INC.
June 2, 2003 - May 24, 2004
ADVEST, INC.
April 14, 2003 - June 3, 2003
UBS FINANCIAL SERVICES INC.
December 11, 2000 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
August 29, 1997 - May 16, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 17, 1994 - May 29, 1997
ADVEST, INC.
January 24, 1991 - October 6, 1992
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, 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
(9/29/2023)
(9/29/2023)
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.
