Ulpiano Castrellon
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.
Ulpiano Castrellon, who also goes by Pete Castrellon, was a registered financial professional .
Ulpiano is a previously registered financial professional and started their career in finance in 1991. Ulpiano had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2006 - August 1, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 6, 2006 - August 1, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 14, 2005 - March 2, 2006
MORGAN KEEGAN & COMPANY, LLC
September 21, 2004 - March 14, 2005
CUSO FINANCIAL SERVICES, L.P.
May 3, 2004 - September 24, 2004
IFMG SECURITIES, INC.
April 5, 2001 - April 30, 2004
ESSEX NATIONAL SECURITIES, LLC
October 14, 1998 - April 4, 2001
SOUTHTRUST SECURITIES, LLC
October 5, 1998 - April 3, 2000
IFMG SECURITIES, INC.
May 1, 1998 - September 9, 1998
WAMU INVESTMENTS, INC.
June 27, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 6, 1997 - June 4, 1997
IFMG SECURITIES, INC.
September 9, 1996 - January 24, 1997
NATIONSSECURITIES
December 19, 1995 - August 13, 1996
ESSEX NATIONAL SECURITIES, LLC
February 11, 1995 - November 28, 1995
BARNETT INVESTMENTS, INC.
August 13, 1993 - February 3, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
November 21, 1991 - September 2, 1993
METROPOLITAN LIFE INSURANCE COMPANY
November 21, 1991 - September 2, 1993
MSI FINANCIAL SERVICES, 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.
