Antonio Adamo
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.
Antonio Adamo was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 1995. Antonio had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2015 - February 13, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 11, 2015 - February 13, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 17, 2010 - September 24, 2013
STRATEGIC ADVISERS LLC
December 10, 2010 - September 23, 2013
FIDELITY BROKERAGE SERVICES LLC
May 2, 2009 - January 28, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - January 28, 2010
CHASE INVESTMENT SERVICES CORP.
August 7, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
July 30, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
December 20, 2006 - August 20, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 20, 2006 - August 20, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 19, 2005 - October 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2005 - October 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1995 - July 10, 1995
INVESTORS ASSOCIATES, 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.
