AS
Arlene E. Searle
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Wilmette, IL
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CRD#: 2654258
AS
Professional summary
Arlene Eason Searle, CFP®, ChFC®, who also goes by Arlene Ruth Eason, Arlene Ruth Searle, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Wilmette, Illinois.
Arlene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Arlene has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arlene Ruth Eason | Arlene Ruth Searle
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Arlene Eason Searle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arlene Eason Searle'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
September 17, 2012 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606RIA
BD
CRD#: 20472
Wilmette, IL
Current
September 14, 2012 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606RIA
BD
CRD#: 20472
Chicago, IL
Past
October 19, 2011 - August 17, 2012
EHLERT FINANCIAL GROUP, INC.
RIA
CRD#: 112150
LINCOLNSHIRE, IL
Past
September 22, 2011 - June 19, 2012
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
LINCOLNSHIRE, IL
Past
August 23, 2010 - June 29, 2011
NORTH SOUTH CAPITAL, LLC
RIA
CRD#: 148158
CHICAGO, IL
Past
August 23, 2010 - June 29, 2011
NORTH SOUTH CAPITAL, LLC
BD
CRD#: 148158
CHICAGO, IL
Past
May 20, 2009 - February 23, 2010
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
CHICAGO, IL
Past
May 29, 2007 - January 16, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
June 1, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
CHICAGO, IL
Past
April 17, 2003 - April 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
W. CONSHOHOCKEN, PA
Past
September 12, 1995 - April 20, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 12, 1995 - April 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(8/22/2018)
RR
Connecticut(7/7/2025)
RR
Florida(1/2/2014)
RR
Illinois(9/14/2012)
IAR
Illinois(9/17/2012)
RR
Indiana(9/29/2015)
RR
Maryland(9/9/2013)
RR
Michigan(5/21/2014)
RR
Minnesota(9/2/2025)
RR
New Mexico(9/10/2014)
RR
New York(12/3/2018)
RR
North Carolina(12/3/2018)
RR
Pennsylvania(7/30/2015)
RR
Rhode Island(1/28/2019)
RR
Texas(8/22/2018)
IAR
Texas(9/12/2025)
RR
Wisconsin(11/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
