MC
Michael J. Caulfield
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
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CRD#: 2294165
MC
Professional summary
Michael Joseph Caulfield, who also goes by Michael Caulfield, Mike Joseph Caulfield, Michael J Caulfield, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 14 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Caulfield | Mike Joseph Caulfield | Michael J Caulfield
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) - RIA
Click below to view Michael Joseph Caulfield's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Caulfield'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®
NoneExperience
Current
February 2, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Hub, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Current
January 26, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Hub, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
May 21, 2025 - August 21, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FLOWER MOUND, TX
Past
May 21, 2025 - August 21, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
FLOWER MOUND, TX
Past
October 21, 2024 - June 26, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
FLOWER MOUND, TX
Past
October 18, 2024 - June 26, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
FLOWER MOUND, TX
Past
April 19, 2024 - October 1, 2024
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
April 10, 2024 - October 1, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
FORT WORTH, TX
Past
November 18, 2021 - January 10, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Westlake, TX
Past
November 17, 2021 - January 10, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
May 22, 2018 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
West Lake, TX
Past
November 13, 2014 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
Westlake, TX
Past
January 23, 2012 - December 20, 2023
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
Past
July 21, 2010 - December 31, 2011
CLARK INVESTMENT STRATEGIES, INC.
RIA
CRD#: 145853
DALLAS, TX
Past
July 21, 2010 - January 11, 2012
CLARK SECURITIES, INC.
BD
CRD#: 43803
DALLAS, TX
Past
March 20, 2009 - May 1, 2009
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SAN DIEGO, CA
Past
July 11, 2005 - February 12, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
July 11, 2005 - February 12, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
April 27, 2001 - August 15, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
May 9, 2000 - February 14, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 9, 2000 - February 14, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/29/2026)
RR
Alaska(2/2/2026)
RR
Arizona(2/9/2026)
RR
Arkansas(2/2/2026)
RR
California(1/27/2026)
RR
Colorado(1/28/2026)
RR
Connecticut(1/29/2026)
RR
Delaware(1/28/2026)
RR
District of Columbia(1/29/2026)
RR
Georgia(1/27/2026)
RR
Idaho(1/27/2026)
RR
Illinois(1/28/2026)
RR
Indiana(1/28/2026)
RR
Iowa(1/29/2026)
RR
Kansas(1/28/2026)
RR
Kentucky(1/28/2026)
RR
Louisiana(1/28/2026)
RR
Maine(1/28/2026)
RR
Maryland(2/5/2026)
RR
Massachusetts(1/27/2026)
RR
Michigan(1/28/2026)
RR
Minnesota(1/28/2026)
RR
Mississippi(2/3/2026)
RR
Missouri(1/26/2026)
RR
Montana(2/4/2026)
RR
Nebraska(1/26/2026)
RR
Nevada(1/28/2026)
RR
New Hampshire(1/28/2026)
RR
New Jersey(1/28/2026)
RR
New Mexico(1/28/2026)
RR
New York(1/28/2026)
RR
North Carolina(2/9/2026)
RR
North Dakota(2/2/2026)
RR
Ohio(1/26/2026)
RR
Oklahoma(1/28/2026)
RR
Oregon(2/9/2026)
RR
Pennsylvania(1/27/2026)
RR
Rhode Island(1/28/2026)
RR
South Carolina(2/4/2026)
RR
South Dakota(1/28/2026)
RR
Tennessee(1/29/2026)
RR
Texas(1/27/2026)
IAR
Texas(2/2/2026)
RR
Utah(1/27/2026)
RR
Vermont(1/28/2026)
RR
Virginia(1/28/2026)
RR
Washington(1/29/2026)
RR
West Virginia(1/29/2026)
RR
Wisconsin(1/26/2026)
RR
Wyoming(1/28/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/21/2025
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
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