Clark A. Buelt
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.
Clark Anthony Buelt, who also goes by Clark Buelt, was a registered financial professional .
Clark is a previously registered financial professional and started their career in finance in 1993. Clark had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2014 - June 3, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 10, 2014 - June 3, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 3, 2011 - June 5, 2014
NYLIFE SECURITIES LLC
May 14, 2010 - February 17, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 26, 2008 - February 1, 2010
CUNA BROKERAGE SERVICES, INC.
May 7, 2007 - February 21, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
September 25, 2003 - December 31, 2006
STATE FARM VP MANAGEMENT CORP.
September 25, 2000 - July 8, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 30, 1999 - August 29, 2000
PFIC SECURITIES CORPORATION
February 16, 1999 - November 30, 1999
MAGNA INVESTMENTS
July 1, 1996 - March 2, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 8, 1994 - July 1, 1996
NATIONWIDE SECURITIES, LLC
October 30, 1993 - March 11, 1994
CUNA BROKERAGE SERVICES, INC.
September 1, 1993 - October 29, 1993
CENTURY INVESTORS OF AMERICA, 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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
