Kyle F. Clark
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.
Kyle Franklin Clark, who also goes by Kyle Franklin Clark, Kyle Clark, Kyle F Clark, was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 1994. Kyle had worked at 15 firms and has passed the Series 63, Series 65, Series 6TO, 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
April 18, 2023 - September 13, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 8, 2020 - July 22, 2020
USAA INVESTMENT SERVICES COMPANY
June 27, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
June 19, 2018 - December 19, 2018
EMPOWER FINANCIAL SERVICES, INC.
February 1, 2013 - March 16, 2018
MONEY CONCEPTS CAPITAL CORP
June 4, 2010 - July 28, 2011
BANCWEST INVESTMENT SERVICES, INC.
February 9, 2007 - May 4, 2010
U.S. BANCORP INVESTMENTS, INC.
December 17, 2004 - March 9, 2005
LPL FINANCIAL LLC
December 2, 2004 - March 9, 2005
LPL FINANCIAL LLC
June 13, 2003 - October 1, 2003
OSAIC FA, INC.
June 13, 2003 - October 1, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 13, 2003 - October 1, 2003
OSAIC FA, INC.
February 9, 1999 - April 30, 2003
KESTRA INVESTMENT SERVICES, LLC
March 6, 1998 - December 18, 1998
AVANTAX INVESTMENT SERVICES, INC.
January 13, 1998 - March 17, 1998
NATIONAL CLEARING CORP.
October 26, 1995 - December 22, 1997
FIDELITY BROKERAGE SERVICES LLC
May 17, 1994 - October 17, 1995
INVESCO DISTRIBUTORS, 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
Series 6TO
Date: 4/18/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
