CS
Casimir M. Seweryn
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Lafayette Hill, PA
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CRD#: 2436217
CS
Professional summary
Casimir Michael Seweryn, CFP®, who also goes by Casimir Michael Seweryn, Casimir Seweryn, Caz Seweryn, Cazzie Seweryn, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Lafayette Hill, Pennsylvania.
Casimir is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Casimir has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Casimir Michael Seweryn | Casimir Seweryn | Caz Seweryn | Cazzie Seweryn
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.
Name: Seweryn Financial - Casimir Seweryn Owner/ Operator Position: Owner/ Operator Nature: Tax Preparation Investment Related: No Hours: 20 Securities Trading Hours: 0 Start Date: 12/01/2007 Address: Home Address, Lafayette Hill PA 19444, United States Description: Tax Preparation business. Clients are family and friends
CRS (Client Relationship Summary) - RIA
Click below to view Casimir Michael Seweryn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Casimir Michael Seweryn'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®
Experience
Current
February 25, 2020 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 201 King Of Prussia Drive Offices 620 624, 625, 627, 636, 638, Radnor, PA, 19087RIA
BD
CRD#: 20472
Lafayette Hill, PA
Current
February 25, 2020 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 201 King Of Prussia Drive Offices 620 624, 625, 627, 636, 638, Radnor, PA, 19087RIA
BD
CRD#: 20472
Radnor, PA
Past
September 25, 2018 - March 22, 2019
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
MALVERN, PA
Past
September 25, 2018 - March 22, 2019
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
June 23, 2010 - September 10, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PHILADELPHIA, PA
Past
April 1, 2010 - April 22, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
KING OF PRUSSIA, PA
Past
January 25, 2010 - March 11, 2010
SEWERYN FINANCIAL PLANNING, LLC
RIA
CRD#: 151756
LAFAYETTE HILL, PA
Past
July 21, 2008 - February 19, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
PHILADELPHIA, PA
Past
July 9, 2008 - February 19, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
PHILADELPHIA, PA
Past
July 22, 2005 - June 19, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PHILADELPHIA, PA
Past
May 17, 2004 - August 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
March 16, 2004 - August 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 31, 1997 - July 24, 2002
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
January 13, 1994 - February 7, 1994
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
NEW YORK, NY
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
Delaware(2/25/2020)
RR
Maryland(2/25/2020)
RR
New Jersey(2/25/2020)
RR
New York(2/25/2020)
RR
Pennsylvania(2/25/2020)
IAR
Pennsylvania(2/25/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 |
|---|---|---|
| 01/23/2025 | ||
| 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.
