Lynda J. Mahorter
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.
Lynda Jean Mahorter, CFP®, who also goes by Lyn Mahorter, Lynda Shelton, was a registered financial professional .
Lynda is a previously registered financial professional and started their career in finance in 1995. Lynda had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
July 18, 2012 - October 12, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 16, 2012 - October 12, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 7, 2011 - November 11, 2011
MCP SECURITIES, LLC
January 3, 2011 - June 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 6, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 14, 2005 - March 2, 2007
PFIC SECURITIES CORPORATION
February 19, 2003 - August 25, 2004
PFIC SECURITIES CORPORATION
November 5, 2001 - June 26, 2002
MERCANTILE SECURITIES, INC.
May 7, 1997 - September 13, 1999
GOLDK INVESTMENT SERVICES, INC
March 24, 1997 - May 9, 1997
GUARANTY BROKERAGE SERVICES, INC.
January 11, 1995 - May 19, 1995
CADARET, GRANT & CO., 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 |
|---|---|---|
| 01/23/2025 | ||
| 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.
