Jeffrey B. Scott
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.
Jeffrey Bernard Scott was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2015 - June 27, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 30, 2015 - June 27, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 24, 2014 - April 8, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 2014 - April 8, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 4, 2013 - October 24, 2013
FINANCIAL TELESIS INC
October 2, 2013 - October 24, 2013
FINANCIAL TELESIS INC
February 17, 2012 - August 28, 2013
CHARLES SCHWAB & CO., INC.
February 9, 2012 - August 28, 2013
CHARLES SCHWAB & CO., INC.
December 6, 2004 - December 8, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 9, 2004 - December 3, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
March 8, 2004 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
August 1, 2003 - February 5, 2004
WALNUT STREET SECURITIES, INC.
June 9, 2003 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
November 9, 1998 - January 10, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
March 13, 1992 - January 2, 1997
IDS LIFE INSURANCE COMPANY
March 13, 1992 - January 2, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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.
