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Michael Joseph Caulfield

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX
·CRD# 2294165·26 years experience

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...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Caulfield, Mike Joseph Caulfield, Michael J Caulfield

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

Current

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCCurrent·CRD# 20472
RIA
BD
1. 3965 Dallas Parkway Frisco Hub, Frisco, TX 750342. Flower Mound, TX
February 2, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCCurrent·CRD# 20472
RIA
BD
3965 Dallas Parkway Frisco Hub, Frisco, TX 75034
January 26, 2026 - Present

Past

LPL FINANCIAL LLCPast·CRD# 6413
RIA
Flower Mound, TX
May 21, 2025 - August 21, 2025
LPL FINANCIAL LLCPast·CRD# 6413
BD
Flower Mound, TX
May 21, 2025 - August 21, 2025
LPL ENTERPRISE, LLCPast·CRD# 8733
BD
Flower Mound, TX
October 21, 2024 - June 26, 2025
LPL ENTERPRISE, LLCPast·CRD# 8733
RIA
Flower Mound, TX
October 18, 2024 - June 26, 2025
FIRST COMMAND ADVISORY SERVICESPast·CRD# 281958
RIA
Fort Worth, TX
April 19, 2024 - October 1, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.Past·CRD# 3641
BD
Fort Worth, TX
April 10, 2024 - October 1, 2024
CHARLES SCHWAB & CO., INC.Past·CRD# 5393
RIA
Westlake, TX
November 18, 2021 - January 10, 2024
CHARLES SCHWAB & CO., INC.Past·CRD# 5393
BD
Westlake, TX
November 17, 2021 - January 10, 2024
TD AMERITRADE, INC.Past·CRD# 7870
BD
Southlake, TX
January 23, 2012 - December 20, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLCPast·CRD# 111514
RIA
West Lake, TX
May 22, 2018 - September 7, 2023
TD AMERITRADE, INC.Past·CRD# 7870
RIA
Westlake, TX
November 13, 2014 - October 14, 2022
CLARK SECURITIES, INC.Past·CRD# 43803
BD
Dallas, TX
July 21, 2010 - January 11, 2012
CLARK INVESTMENT STRATEGIES, INC.Past·CRD# 145853
RIA
Dallas, TX
July 21, 2010 - December 31, 2011
1ST GLOBAL CAPITAL CORP.Past·CRD# 30349
BD
San Diego, CA
March 20, 2009 - May 1, 2009
LPL FINANCIAL LLCPast·CRD# 6413
RIA
San Diego, CA
July 11, 2005 - February 12, 2009
LPL FINANCIAL LLCPast·CRD# 6413
BD
San Diego, CA
July 11, 2005 - February 12, 2009
AMERICAN CENTURY INVESTMENT SERVICES INC.Past·CRD# 17437
BD
Kansas City, MO
April 27, 2001 - August 15, 2003
IDS LIFE INSURANCE COMPANYPast·CRD# 6321
BD
Minneapolis, MN
May 9, 2000 - February 14, 2001
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
BD
Minneapolis, MN
May 9, 2000 - February 14, 2001

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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)

Contact Information

Main Address

730 Third Avenue, New York, NY 10017-3206

Mailing Address

8500 Andrew Carnegie Boulevard, 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

1,293

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - MARCH 31, 2026 (4/21/2026)

Direct owners and executive officers

NamePositionCRD#
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICASOLE OWNER OF APPLICANT—
ABBOTT, ROSS HAMLETCHIEF OPERATING OFFICER, ELECTED MANAGER2756063
BARNHILL, HELEN GWYNCHIEF LEGAL OFFICER2574877
BELLUCCI, RAYMOND JOHNELECTED MANAGER1807977
D AMBROSI, JULIAN MAUROPRESIDENT, CEO, ELECTED MANAGER4729324
DEATS, JAMES JELECTED MANAGER4895304
HEASLIP, DEREK JAMESELECTED MANAGER6318596
INTIHAR, JEREMY ROSSCHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER5040823
LEWIS, BENJAMIN HERBERTELECTED MANAGER1687894
MUKHERJEE, NILADRIELECTED MANAGER5227234
OVHORI, ELOHO ISIMEMECHIEF FINANCIAL OFFICER8201407
SARAVANAN, SHANKARVICE PRESIDENT, ELECTED MANAGER7789140
STICKROD, CHRISTOPHER EUGENEELECTED MANAGER4627958
WEINSTEIN, SCOTT WILLIAMCHIEF COMPLIANCE OFFICER - BROKER DEALER4324014

Regulatory Assets Under Management

Total Number of Accounts

72,503

AUM (Assets Under Management)

$37,928,601,788

Disclosures

Regulatory Event

8

Arbitration

4

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/23/2026Cover PageReport
01/22/2026Cover PageReport
01/23/2025Cover PageReport
12/13/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Name: MJC Publishing Position: CEO Nature: MJC Publishing is a sole proprietorship operated by a single individual. The business is engaged exclusively in the creation and development of original, non-investment-related creative content. Activities include writing and publishing self-authored fictional works, producing related videographic content and composing original music, both of which will be published on the organization's future website. All services and outputs are creative and artistic in nature and are unrelated to securities, capital markets or financial products. Currently, the organization is in the ideation phase, and therefore has no marketing, revenue, sales, advertising or public relations. All work for the organization takes place outside of normal business hours, such as evenings and weekends. MJC Publishing does not provide investment advice, financial analyses, securities recommendations, portfolio management or any other services related to broker-dealer, investment adviser or financial services or insurance-related activities. The business does not solicit investors, manage client funds, receive compensation tied to securities transactions or engage in any regulated financial activity. Sales promotion will be through a business partner entity (an established publishing house) and through the organization's future website. Future revenue will be derived by point of purchase sales online or by store purchases. Investment Related: No Hours: 40 Securities Trading Hours: 0 Start Date: 01/05/2026 Address: Home Address, Flower Mound TX 75028, United States Description: Oversee strategic direction, content, marketing, financial management.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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
Florida
(4/3/2026)
RR
Georgia
(1/27/2026)
RR
Hawaii
(3/31/2026)
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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2000About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed May 2025About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2000About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Nov 2022About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Aug 2022About the Series 9 exam

Series 24 — General Securities Principal Examination

Passed Aug 2005About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Caulfield's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Caulfield's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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